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, Jason Kane or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at (585) 310-5140.