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FINRA Awards for James Roberts

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0386011/27/2015Claimant(s): Shirley Peltier
Claimant Lawyers(s): Stacy Joel Safion
Respondent(s): James Roberts, Cullum & Burks Securities.
Respondent Lawyers(s): James Michael Roberts, Steve L. Burks
Arbitrator(s): Ronald L. Cameron, Anita Rae Shapiro, George Frederick Garris
Hearing Site: Los Angeles, CA
Checkmark Icon$275,987
12-0311611/06/2013Claimant(s): Denise Hill
Claimant Lawyers(s): Gail E Boliver
Respondent(s): James Roberts, Ameritas Investment Corp.
Respondent Lawyers(s): David M. Williams, James Roberts
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Des Moines, IA
Checkmark Icon$37,200

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