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Gary Roth Subject of Regulatory Action in Wisconsin

Sep 2, 2023 Regulatory Action

Gary Roth (CRD #: 4635762), a broker registered with Packerland Brokerage Services, is the subject of a regulatory action in the state of Wisconsin, according to his BrokerCheck record, accessed on September 1, 2023. Keep reading for more details.

On June 9, 2023, the Wisconsin Office of the Commissioner of Insurance alleged that Gary Roth violated state statutes regarding prohibited practices during license revocation and surrender. Specifically, the state regulator alleged that Gary Roth paid consideration to a disciplined person for information directly or indirectly provided for the purpose of assisting in the sale of insurance during the disciplined period. 

Wisconsin imposed a civil and administrative fine of $3,000. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violating state statutes may also violate this rule. 

Background Information 

Gary Roth has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination 

He is a registered broker in 15 states and is an investment adviser in Pennsylvania and Wisconsin. 

Gary Roth has only ever registered with Packerland Brokerage Services (CRD #: 37031). 

Kurta Law Can Help

If you worked with Gary Roth and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.