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FINRA Awards for Richard Roth

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0120002/11/2022Claimant(s): Frank Petrosino, James Salter
Claimant Lawyers(s): Lainie E. Cohen
Respondent(s): Paulson Investment Company, Joseph Hain, Timothy Touloukian
Respondent Lawyers(s): Richard Roth, Steven C. Berman, Todd A. Zuckerbrod
Arbitrator(s): Leon Fox, Dianne Marie Onichimowski, William James Shimanek
Hearing Site: Chicago, IL
Checkmark IconExpungement
07-0275103/16/2009Claimant(s): Santiago Reyes, Mateo Holdings Inc.
Claimant Lawyers(s): Mark F. Raymond
Respondent(s): Spencer Trask Ventures.
Respondent Lawyers(s): Richard Roth
Arbitrator(s): Sanford M. Naiditch, Jonathan E. Perlman, Daniel P. Lund
Hearing Site: Miami, FL
Checkmark Icon$100,000

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