Bernardita Roque Sanctioned by Securities Regulators

Bernadita Cortez Roque was sanctioned by securities regulators as a result of participating in three private securities transactions without providing notice to her firm, Transamerica Financial Advisors, Inc., according to a Letter of Acceptance, Waiver, and Consent agreed upon by the Financial Industry Regulatory Authority (FINRA) and Roque. Roque neither denied nor admitted FINRA’s factual findings.

Roque referred two married Transamerica customers to DFI, a company that offered private placement investments, according to FINRA. Roque facilitated the purchase of three private securities transaction of the two customers without Transamerica’s knowledge or permission, according to the letter.

Roque is barred from associating with any FINRA member in any capacity.

The Peiffer Rosca securities attorneys often represent investors who lose money as a result of Ponzi schemes, investment fraud, or stockbroker misconduct. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of investment fraud or misconduct may contact the securities lawyers at Peiffer Rosca, Alan Rosca or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1157 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.