Tag Archives: Registered Representative

SEC Charges Registered Representative David Rothman Stealing Investor Funds

SEC v. David L. Rothman, Case No. 12-cv-5412-BMS (E.D. Pa.).  On September 24, 2012, the SEC announced fraud charges against David Rothman, a registered representative and minority owner of Rothman Securities, Inc., a broker-dealer registered with the SEC.  For several years Rothman provided … Continue reading

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