DENISE MARIE ROTH

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MUTUAL SERVICE CORPORATION (CRD No. 4806), DENNIS S. KAMINSKI (CRD No. 1013459), SUSAN COATES (CRD No. 1563043), MICHAEL POSTON (CRD No. 1863133), DENISE ROTH (CRD No. 2749209), GARI C. SANFILIPPO (CRD No. 4151931), KEVIN L. COHEN (CRD No. 4527236), and Respondents. Disciplinary Proceeding No. EAF0400630001 Hearing Officer -- Andrew H. Perkins EXTENDED HEARING PANEL DECISION December 16, 2008
Reference EAF0400630001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2749209

Other names1

Also known as1

DENISE ROTH

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