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The PAUSE Program lists entities that falsely claim to be registered, licensed, and/or located in the United States in their solicitation of investors. The PAUSE Program also lists entities that impersonate genuine U.S. registered securities firms as well as fictitious regulators, governmental agencies, or international organizations.

Rothman Securities

[ Impersonators of Genuine Firms ]

Parkwood Building, Suite 201
Street Road
Southampton, PA

July 25, 2019

  1. Rothman Securities is impersonating a genuine broker-dealer firm with a similar name - Rothman Securities, Inc. (CRD Number: 13907; SEC Number: 8-30469), which has the following mailing address: 111 Street Road, Suite 201, Southampton, PA 18966. The impersonator has NO connection with, and is not to be confused with, the genuine Rothman Securities, Inc. The SEC's EDGAR databasecontains registration information for the genuine entity
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