Steve Rosh, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Steve Rosh CRD #2962763
Steve Rosh was a formerly licensed financial advisor with Transamerica Financial Advisors, Inc. FINRA reports that Steve Rosh was suspended from the securities industry in November 2014.
According to FINRA: Steve Rosh consented to the sanctions and to the entry of findings that Steve Rosh engaged in three outside businesses without first providing written notice to his member firm. The findings stated that additionally, Steve Rosh participated in an unapproved private securities transaction by loaning $145,462.61 to a financial entity, without obtaining prior written authorization from the firm.
According to Steve Rosh’s CRD, Steve Rosh voluntarily resigned from Transamerica Financial Advisors, Inc. in May 2013. According to Steve Rosh’s CRD, Firm received a letter from FINRA dated March 8, 2013 indicating that FINRA was investigating registered representative Steve Rosh and repbnk.com. The firm initiated an internal review of the FINRA matter. The firm determined that Steve Rosh had participated in: 1) unapproved outside business activities; 2) unapproved private securities transactions; and 3) unapproved personal investment transactions.
If you lost any money on investments with Steve Rosh, you may be able to recover your losses. If you lost money on investments with Steve Rosh 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 concerning Steve Rosh’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.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Steve Rosh 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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