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Brian Robert Roth

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/22/2025: In March 2017, Roth borrowed $250,000 from a customer while associated with International Asset Advisory, LLC. In March 2020, while Roth was associated with Newbridge, Roth and the customer executed a promissory note to memorialize the terms of the March 2017 loan. Through this conduct, Roth violated FINRA Rules 3240 and 2010. For these violations, Roth is suspended for three months.

    Reference 2023078672001finra.orgdata-portal.finra.org

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