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… Read more »