Brian Robert Roth

(CRD #4607595, Mendham, New Jersey)

April 22, 2025 – An AWC was issued in which Roth was suspended from association with any FINRA member in all capacities for three months. In light of Roth’s financial status, no monetary sanction has been imposed. Without admitting or denying the findings, Roth consented to the sanction and to the entry of findings that he borrowed $250,000 from a customer without disclosing the loan to his member firm or receiving its permission to accept it. The findings stated that when Roth joined a new firm, the customer opened accounts at the firm for which Roth was the registered representative. However, Roth did not disclose the loan to the firm at the time of his registration. Subsequently, Roth and the customer documented the loan in a promissory note and Roth ultimately repaid the loan in full. The findings also stated that Roth falsely attested in annual compliance questionnaires provided to one of the firms that he had not solicited or accepted a loan from a customer while associated with the firm. The suspension is in effect from May 5, 2025, through August 4, 2025. (FINRA Case #2023078672001) If you have suffered losses as a result of Brian Robert Roth's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Brian Robert Roth. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.