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FINRA Awards for Chuck Roberts

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0295707/15/2020Claimant(s): Chuck Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
19-0295805/26/2020Claimant(s): Chuck Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): M. J. Whitman.
Respondent Lawyers(s): Michael Carney
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
19-0296204/22/2020Claimant(s): Chuck Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ethan Weinberg
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
19-0296104/09/2020Claimant(s): Chuck Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
19-0295903/25/2020Claimant(s): Chuck Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Elizabeth R. Aylett
Arbitrator(s): Paul S. Biederman
Hearing Site: New York, NY
10-0432706/18/2013Claimant(s): Marguerite Arora, Raveen Arora, The Arora Family Trust
Claimant Lawyers(s): Gerard P. Fox
Respondent(s): Chuck Roberts, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Herbert Murez, Thomas R. Watkins, Karen J. Burneff
Hearing Site: Los Angeles, CA
Checkmark Icon$205,028

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