Brandon Rolle – Financial Advisor/Broker Brandon Rolle Suspended from the Securities Industry

Brandon Rolle – Financial Advisor/Broker Brandon Rolle Suspended from the Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses

Brandon Rolle CRD #6097706

Brandon Rolle is a licensed financial advisor with Northcoast Research Partners LLC. Brandon Rolle was a previously licensed financial advisor/broker with Longbow Securities, LLC. FINRA reports that Brandon Rolle was fined $5,000 and suspended from the securities industry for one month in June 2020.

According to FINRA Allegations:

Brandon Rolle consented to the sanctions and to the entry of findings that Brandon Rolle sent himself emails using a personal email account, attached to those emails were documents that contained confidential and/or proprietary information obtained from Brandon Rolle’s member firm’s computer system. The findings stated that the documents included financial models, industry channel contact information, research reports, and surveys for the companies that Brandon Rolle researched and analyzed at the firm. Brandon Rolle’s actions violated provisions in the firm’s employee handbook and compliance manual, and violated a confidentiality agreement executed by Rolle when hired by the firm. Rolle ended his association with the firm shortly after emailing himself the copies of the firm’s files. Brandon Rolle then associated with another firm and used the information he had taken to assist him in carrying out his duties as an analyst for his new firm.

Goodman & Nekvasil P.A. May Recover Investor Losses

If you lost money on investments with Brandon Rolle and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Brandon Rolle’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Brandon Rolle and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

Some of the information in this blog post was obtained on 5/19/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

Brandon Rolle, Financial Advisor, Broker, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, SEC, Financial Advisor, Broker, Brandon Rolle

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