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Roth Capital Partners Review
Roth Capital Partners is a US investment bank for growth and small cap companies, not a retail broker. It has settled many minor regulatory fines since the 1990s.
Min Deposit
N/A
Spreads From
Not applicable, Roth does not quote retail style spreads
Max Leverage
Not applicable, Roth does not offer leveraged retail trading accounts
Platforms
Institutional trading desk, Equity research portal
Pros
- SEC registered investment bank with a record going back to 1984
- Added real scale in 2023 by merging with MKM Partners research and trading
- Research coverage on more than 550 stocks across about 14 offices
- No fraud finding in any of its disclosed regulatory settlements
Cons
- At least 16 FINRA or Nasdaq fines on file since 1990 for supervisory gaps
- Twelve separate customer arbitration cases are on its public record
- Not a retail broker, so there is no account, deposit, or spread to quote
- Focuses on small and micro cap growth stocks, a genuinely higher risk niche
Roth Capital Partners has been registered with the SEC since 1984 and with FINRA since 1985. Its current LLC structure was formed in California in 2001. The firm builds its business on equity research, underwriting, and trading for growth focused and small cap companies, not on retail accounts.
In January 2023, Roth completed its purchase of MKM Partners, an institutional trading and research firm, and now often uses the combined name Roth MKM. The merged firm runs roughly 14 offices across North America, one of the larger US trading floors, and research coverage on more than 550 stocks.
FINRA's own record shows at least 16 regulatory fines against Roth since 1990, mostly $7,500 to $62,500 for supervisory procedure gaps, most recently a $62,500 Nasdaq fine in 2021. None are marked as fraud findings, but 12 separate customer arbitration cases also sit on file.
Max Leverage
Not applicable, Roth does not offer leveraged retail trading accounts
Spreads From
Not applicable, Roth does not quote retail style spreads
Platforms
Regulators
- SEC (USA)
- FINRA
- SIPC
