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FINRA Awards for Joseph Roop

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0309412/02/2021Claimant(s): Joseph Roop
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kalos Capital.
Respondent Lawyers(s): John Dillon
Arbitrator(s): Mary E. Woytek
Hearing Site: Charlotte, NC
19-0352311/02/2020Claimant(s): Joseph Roop
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Legg Mason Wood Walker, Wells Fargo Clearing Services, Kalos Capital., Banc of America Investment Services Inc.
Respondent Lawyers(s): Alan M. Wolper, Demian J. Betz, Gretchen Klebasko, Sarah K. Yates
Arbitrator(s): Richard H. Potter
Hearing Site: Charlotte, NC

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