FINRA

Respondent Roe failed to respond to FINRA request for information.

Letter

Bar (Permanent)

All Capacities

Indefinite

6/19/2017

Pursuant to FINRA Rule 9552(h) and in accordance with FINRA's Notice of Suspension and Suspension from Association letters dated March 16, 2017, and April 10, 2017, respectively, on June 19, 2017, Roe is barred from association with any FINRA member in any capacity. Respondent failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in any capacity.

Client alleges that he did not sign new account documentation to establish an IRA brokerage account with Park Avenue Securities. Client further alleges unauthorized mutual fund and stock trades took place in his IRA account. Client is requesting reimbursement in the amount of $40,500 due to the loss of account value, commissions and trading charges.

$40,500.00

$15,000.00

Client alleged that RR Roe forged his signature and made changes to his traditional life insurance policy without his authorization, knowledge or consent.

CROWELL, WEEDON & CO.

Voluntary Resignation

THE FIRM RECIEVED VERBAL COMPLAINTS FROM THREE OF MR. ROE'S CLIENTS ALLEGING MR. ROE SOLD SECURITIES WITHOUT THEIR AUTHORIZATION. THE FIRM REQUESTED A WRITTEN EXPLANATION FROM MR. ROE REGARDING THE ALLEGED UNAUTHORIZED TRADES AND MR. ROE FAILED TO RESPOND AND NEVER RETURNED TO WORK. WITHIN A WEEK, MR. ROE SENT AN EMAIL RESIGNING FROM THE FIRM.

CLIENT AUTHORIZED TRADE. FINRA INVESTIGATION FOUND NO WRONG-DOING.

GRAND THEFT

Convicted

FELONY GRAND THEFT WAS REDUCED TO MISDEMEANOR THEN DISMISSED AND EXPUNGED.

MISDEMEANOR

Dismissed

I WAS DATING AN EMPLOYEE OF A THEATRE/FINE DINING ESTABLISHMENT WHO WAS STEALING TICKETS AND GIFT CERTIFICATES FROM THE THEATRE. I USED THESE STOLEN ITEMS WITHOUT KNOWLEDGE OF THEIR TRUE SOURCE. I WAS ARRESTED WITH MY GIRLFRIEND AND I TOOK ALL BLAME FOR THE INCIDENT. I WAS SENTENCED TO 3 YEARS PROBATION AND RESTITUTION. MY PROBATION WAS TERMINATED EARLY AND THE COURT EXPUNGED MY RECORD PURSUANT TO 1203.4