Articles Tagged with Frederick Roehm

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Frederick Roehm Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 10, 2017 indicate that Illinois-based Ausdal Financial Partners broker Frederick Roehm has been named in a pending FINRA complaint and pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Roehm (CRD# 2340397).

Frederick Roehm has spent 24 years in the securities industry and has been registered with Ausdal Financial Partners in Schaumburg, Illinois since 2014. Previous registrations include FSC Securities in Schaumburg, Illinois and Waterstone Financial Group in Schaumburg, Illinois. He is a registered broker with 14 US states and territories: Arizona, California, Florida, Illinois, Indiana, Maine, Michigan, Nevada, North Carolina, Ohio, Tennessee, Texas, Wisconsin and Wyoming.

According to his BrokerCheck report, he has been named in a pending FINRA complaint and two pending customer complaints.