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WARNING! Investigation of RONALD ROACH – Walnut Creek, CA

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30
Sep

WARNING! Investigation of RONALD ROACH – Walnut Creek, CA

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WARNING!  Investigation of RONALD ROACH – Walnut Creek, CA

Ronald Roach, with Securities America, Subject of SEC Complaint

 

Have you lost money with financial advisor Ronald J. Roach of Walnut Creek, California?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Ronald Roach. The SEC alleged that Roach and Joseph Bayliss were involved in a scheme in which investments in solar generators were made.  The SEC alleged that Roach, who is also an accountant, was involved in concealing the lack of legitimate revenue of these solar generators, and that this information misled investors.

 

Ronald Roach was a financial advisor and registered representative of Securities America from January 2009 to the present.  He worked at branch offices in Walnut Creek, California.  Roach also owns Ronald J. Roach Accountancy Corporation.

 

Brokerage firms like Securities America have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Seattle, Washington and Denver, Colorado.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Securities America.

 

Click to view:  Roach, Ronald SEC Complaint

Click to view:  Roach, Ronald BrokerCheck 10.23.19

 

If you lost money with Ronald Roach or Securities America, please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

 

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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