The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Chuck A Roberts (CRD#2064602) regarding allegations made regarding the following:
Claim(s) Made Against Chuck A Roberts:
Claim Date: 2/29/2024
“Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the Florida Securities and Investor Protection Act.”
This claim, as of this posting, is currently Pending with a claim amount of $100,000.00 .
Claim Date: 11/14/2023
“Claimants allege violation of common law fraud, breach of fiduciary duty, and negligence”
This claim, as of this posting, is currently Pending with a claim amount of $100,000.00 .
Claim Date: 12/13/2023
“Claimant brings claims for Negligence (Breach of FINRA Rules), Breach of Fiduciary Duty, Violation of Section 10(b) of the Securities Exchange Act and Rule 10b-5, Promulgated Thereunder, Violation of Florida Statute section 517.301, and Punitive Damages relating to alleged unauthorized trading and churning/reverse churning.”
This claim, as of this posting, is currently Pending with a claim amount of $1,000,000.00 .
Claim Date: 12/14/2023
“Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the Florida Securities and Investor Protection Act.”
This claim, as of this posting, is currently Pending with a claim amount of $5,000,000.00 .
Claim Date: 10/11/2023
“Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of the New Jersey uniform securities law, and violation of the Florida securities and investor protection act.”
This claim, as of this posting, is currently Pending with a claim amount of $1,000,000.00 .
Claim Date: 10/19/2023
“Claimants alleges violations of California Corporations Code, violation of Section 10(b) of the Securities Exchange Act, violation of Regulation Best Interest, and breach of fiduciary duty.”
This claim, as of this posting, is currently Pending with a claim amount of $1,000,000.00 .
Claim Date: 10/24/2023
“Customers allege registered representative never discussed the risk profile of customers‘ investments and made them without customers‘ authorization.”
This claim, as of this posting, is currently Denied with a claim amount of $150,000.00 .
Claim Date: 7/21/2023
“Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the Florida securities and investor protection act.”
This claim, as of this posting, is currently Pending with a claim amount of $1,000,000.00 .
Claim Date: 8/11/2023
“Claimants allege breach of fiduciary duty, negligence, fraud, and breach of contract.”
This claim, as of this posting, is currently Pending with a claim amount of $500,000.00 .
Claim Date: 5/24/2023
“Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the Florida securities and investor protection act.”
This claim, as of this posting, is currently Pending with a claim amount of $500,000.00 .
Claim Date: 5/26/2023
“Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the California Corporations Code.”
This claim, as of this posting, is currently Pending with a claim amount of $1,000,000.00 .
Claim Date: 6/9/2023
“Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the Florida securities and investor protection act.”
This claim, as of this posting, is currently Pending with a claim amount of $5,000,000.00 .
Claim Date: 4/11/2023
“Customer alleges that he was misled about the risks and characteristics of certain investments.”
This claim is currently Denied.
Claim Date: 5/3/2023
“Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the Florida securities and investor protection act.”
This claim is currently Pending with a claim amount of $5,000,000.00 .
Claim Date: 5/10/2023
“Claimants allege a breach of fiduciary duty, negligence, fraud, breach of contract, violation of the Florida securities and investor protection act, and violation of ERISA.”
This claim is currently Pending with a claim amount of $5,000,000.00 .
Claim Date: 5/12/2023
“Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, and violation of the Florida securities and investor protection act.”
This claim is currently Pending with a claim amount of $5,000,000.00 .
Claim Date: 12/23/2022
“Claimants allege unsuitability, negligence/gross negligence, breach of FINRA rules, breach of fiduciary duty, breach of contract, and unjust enrichment in connection with investments purchased at Stifel.”
This claim is currently Pending with a claim amount of $3,000,000.00 .
Claim Date: 10/24/2022
“Claimant alleges negligence (breach of FINRA Rules), negligent misrepresentation, and breach of fiduciary duty in connection with an outside investment in a hedge fund and with investments purchased at Stifel.”
This claim is currently Pending with a claim amount of $1,000,000.00 .
See more information on FINRA’s BrokerCheck site for Chuck A Roberts.