Ronald James Roach (Ron Roach) – Financial Advisor/Broker Ron Roach Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Ronald James Roach (Ron Roach) CRD #: 3216784
Ron Roach was a formerly licensed financial advisor with Securities America, Inc. According to Ron Roach’s BrokerCheck report, Ron Roach was barred from the securities industry in November 2019.
According to the SEC Report: The Securities and Exchange Commission deems it appropriate and in the public interest that public administrative proceedings be instituted against Ronald Roach (“Respondent”). On the basis of this Order and Respondent’s Offer, the Commission finds that on November 19, 2019, a final judgment was entered by consent against Roach, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 (“Securities Act”), and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in the Civil Action Number 2:19-cv-02140, in the United States District Court for the Eastern District of California. On October 22, 2019, Ron Roach pled guilty to conspiracy to commit wire fraud and to violations of Section 17(a) of the Securities Act before the United States District Court for the Eastern District of California, in Crim. Information No. 2:19- cr-00182.
According to Ron Roach’s BrokerCheck Report:
Ron Roach was discharged from Securities America, Inc. in October 2019. Securities America, Inc. reported that Ron Roach pled guilty to two felonies including one count of Conspiracy to Commit an Offense Against The United States and one count of Securities Fraud.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Ron Roach 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 Ron 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, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Ron 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.
Some of the information in this blog post was obtained on 1/8/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
Ronald James Roach, Ron Roach, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, SEC, Ronald James Roach, Ron Roach