Potomac Analytics' Logo

FINRA Awards for Stuart D. Roberts

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 11-20 out of 28 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0156705/25/2022Claimant(s): Sandhya Kalkunte
Claimant Lawyers(s): Sandhya Sandy Kalkunte
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Mary E. Bassett
Hearing Site: Boston, MA
20-0352003/15/2021Claimant(s): Sean Dobranich
Claimant Lawyers(s): James P. Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Mary M. O'Neil, Nicholas John Reiter, William Ogburn Huggins
Hearing Site: Las Vegas, NV
18-0292903/11/2020Claimant(s): Brady Beelman
Claimant Lawyers(s): Brady Ross Beelman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Michael J. Ahlstrom, Henry W. Grady, Samuel Appel
Hearing Site: Atlanta, GA
17-0143908/27/2019Claimant(s): Robert Ryder
Claimant Lawyers(s): Craig R. Weis
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
19-0061807/05/2019Claimant(s): Citizens Securities.
Claimant Lawyers(s): Stuart D. Roberts
Respondent(s): Nelson Amparo
Respondent Lawyers(s): Nelson Alejandro Amparo
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Providence, RI
16-0274205/09/2019Claimant(s): Corey Daniels
Claimant Lawyers(s): Corey Darnell Daniels
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Allen Kilik, Jon Stanley Spisiak, Sidney Turner
Hearing Site: Boca Raton, FL
17-0256701/14/2019Claimant(s): Michael Clancy
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Portland, OR
18-0102508/13/2018Claimant(s): Terrance Joseph
Claimant Lawyers(s): Terrance Joseph
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): John F. Allgood
Hearing Site: Atlanta, GA
17-0248805/21/2018Claimant(s): Mark Seto
Claimant Lawyers(s): Trent M. Latta
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts, Thomas F. Kopshever
Arbitrator(s): Joseph C. Roberts, Michael J. Busch, David William Hickman
Hearing Site: Seattle, WA
17-0215704/09/2018Claimant(s): Matthew Gold
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY

28 Results

Display: