Daniel A Roth (CRD #2765642) Has a Customer Dispute Disclosure on FINRA BrokerCheck

Daniel A Roth (CRD #2765642) is a broker with a customer dispute on FINRA BrokerCheck. We reviewed his BrokerCheck report on January 29, 2026. It reflects one customer dispute. If you invested with Daniel Roth and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Daniel Roth’s FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below:

In December 2022, a client alleged funds were not placed in a money market fund after a deposit. BrokerCheck lists the product as a money market fund. The customer sought $117,000 in damages. The disclosure states the complaint was denied on November 7, 2025.

Rule Summary #1: FINRA Rule 2150 (Improper Use of Customers’ Securities or Funds)

FINRA Rule 2150 bars improper use of a customer’s funds or securities. Disputes about uninvested cash can raise questions about how customer funds were handled.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires firms and associated persons to follow high standards of commercial honor. It can apply when conduct appears unfair or inconsistent with a customer’s instructions.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on His FINRA BrokerCheck report, Daniel Roth:

Is currently registered with Charles Schwab & Co., Inc.

Has passed the Securities Industry Essentials (SIE) exam. Daniel Roth has passed Series 7 and Series 52. He has also passed Series 66, Series 63, Series 9, and Series 10.

Was previously registered with Olde Discount Corporation.

Kurta Law Can Help

If you have worked with Daniel Roth and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | What is Securities Fraud?

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.