FINRA Awards for Keith Roberts

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
15-03185	08/09/2018	Claimant(s): Sukhminder Pannu and Prabhjot Dillion Claimant Lawyers(s): Arthur C. Koski Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): David Luger Arbitrator(s): Keith Roberts, Clive I. Morrick, Michele S. Riley Hearing Site: New York, NY		$0
16-02803	05/12/2017	Claimant(s): Judith Graf Claimant Lawyers(s): John G. Cataldo Respondent(s): Anthony Didonato, Gail Sokol, Janney Montgomery Scott LLC Respondent Lawyers(s): Paula D. Shaffner Arbitrator(s): Keith Roberts Hearing Site: New York, NY		Expungement
15-01757	07/18/2016	Claimant(s): John Long Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Deirdre C. Wolff Arbitrator(s): Keith Roberts Hearing Site: New York, NY		$0
11-04657	06/26/2013	Claimant(s): Mildred Pitchon Claimant Lawyers(s): G. Martin Meyers Respondent(s): David Donovan, Citigroup Global Markets., Morgan Stanley, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Adam Kauff, Angela T. Turiano Arbitrator(s): Steven David Leader, Keith Roberts, Robert Bartels Hearing Site: New York, NY		Expungement