Potomac Analytics' Logo

FINRA Awards for Roth Capital Partners

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 3 out of 3 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0276504/20/2021Claimant(s): Timothy Hassell
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Roth Capital Partners
Respondent Lawyers(s): Richard Platt
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
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

3 Results

Display: