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FINRA Awards for Joseph C. Roberts

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Displaying 11-18 out of 18 results
Case Number Award Date Case Summary Customer Case? Amount Granted
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
16-0094907/11/2017Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Valery Gurin
Respondent Lawyers(s): Valery Vitalievich Gurin
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
14-0207809/11/2014Claimant(s): Stephen Wormeli
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
13-0090008/22/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Paul Stafford
Respondent Lawyers(s): Paul Edward Stafford
Arbitrator(s): Joseph C. Roberts, Richard L. Warner, Karl Vernon Leaverton
Hearing Site: Helena, MT
11-0193301/17/2014Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Samuel Bensen
Respondent Lawyers(s): Samuel M. Bensen
Arbitrator(s): Joseph C. Roberts, William J. Bender, Frederick B. Mueller
Hearing Site: Seattle, WA
12-0079209/05/2012Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Thomas Staples
Respondent Lawyers(s): Paul W. Thomas
Arbitrator(s): Joseph C. Roberts
Hearing Site: Helena, MT
11-0294306/07/2012Claimant(s): Karsten Caviezel, Kelly Caviezel
Claimant Lawyers(s): Terry A. Robinson
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
10-0105711/09/2010Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): David L. Young
Respondent(s): Sally Gray
Respondent Lawyers(s): Sally J. Gray
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA

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