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FINRA Awards for Roth Capital Partners

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0019204/24/2018Claimant(s): Matthew Proman
Claimant Lawyers(s): Robert Miller
Respondent(s): Byron Roth, David Farina, Jared Schramm, Roth Capital Partners
Respondent Lawyers(s): John R. Loftus
Arbitrator(s): Fred S. Pieroni, Richard Gee, Walter Arthur Saurack
Hearing Site: New York, NY
Checkmark IconExpungement
05-0461810/31/2007Claimant(s): Donna Perlmutter, Jona Perlmutter, Perlmutter Family Trust
Claimant Lawyers(s): Loren J. Beck
Respondent(s): Roth Capital Partners
Respondent Lawyers(s): Momo E. Takahashi
Arbitrator(s): J. Jean Elliott, Thomas A. Culbertson, Henry Marris Wollman
Hearing Site: Los Angeles, CA
Checkmark Icon$93,681

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