Goodman & Nekvasil P.A., May Recover Investor Losses – John Isaac Roach (John Roach) Suspended from Securities Industry and Fired by CCO Investment Services Corp. a.k.a Citizens Securities, Inc.
From 2007 until John Roach’s firing in 2014, John Roach was licensed with CCO Investment Services Corp a.k.a. Citizens Securities, Inc. John Roach is now licensed with International Assets Advisory, LLC. According to FINRA’s records, John Roach was fired by CCO Investment Services Corp. a.k.a. Citizens Securities, Inc. on September 15, 2014. CCO Investment Services Corp. a.k.a. Citizens Securities, Inc. reported to FINRA that John Roach’s firing was related to unauthorized trading.
Subsequent to John Roach’s firing by CCO Investment Corp. a.k.a. Citizens Securities, Inc. FINRA investigated John Roach and brought a disciplinary action against John Roach. FINRA reports that John Roach consented to a $5,000 fine and a 10 day suspension from the securities and investment banking industry. According to FINRA, John Roach also consented to findings that John Roach exercised discretion to purchase the two mutual funds with a total approximate value of $62,000 in a customer’s account without having obtained prior written authorization from the customer to exercise discretion and prior written acceptance of the account as discretionary from John Roach’s member firm.
According to FINRA’s records, an arbitration claim has been filed involving John Roach’s conduct while John Roach was with Citizens Securities, Inc. a.k.a. CCO Investment Services Corp. This arbitration claim alleges unsuitable investments and unauthorized trading in accounts. This arbitration claim settled for $50,000.
If you lost any money on investments with John Roach, you may be able to recover your losses from CCO Investment Services Corp a.k.a. Citizens Securities, Inc. and/or International Assets Advisory, LLC. This is because CCO Investment Services Corp a.k.a. Citizens Securities, Inc. and International Assets Advisory, LLC had a duty to supervise John Roach.
If you lost money on investments with John Roach and believe that 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 against CCO Investment Services Corp a.k.a. Citizens Securities, Inc. and/or International Assets Advisory, LLC concerning John Roach’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 has recovered more than $170 million on behalf of victimized investors. If you lost money on investments with John Roach 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.
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