Anteneh Roberts (CRD #6414549) is a former registered broker and investment advisor whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Ann Arbor, MI, from 05/15/2015 through 08/10/2017. His previous employer was PNC Investments (CRD #129052) of Cleveland, OH. He is not currently registered with any FINRA broker, and no recent employment information is available.
Roberts has three disclosures, the first of which is a customer dispute filed on 03/29/2017. A court-appointed special representative for the customer’s conservator estate alleged that Roberts “misappropriated” monies from one of the customer’s accounts in September of 2015. The customer requested damages of $54,571.85, and the case was settled for $58,571.85.
The second disclosure involves Roberts’ discharge by Merrill Lynch on 7/17/2017, alleging “conduct inconsistent with firm standards regarding personal bank accounts.” Involvement in the customer dispute of 3/29/2017 is not mentioned.
The third disclosure on 2/21/2018 was initiated by FINRA. After failing to respond to multiple FINRA’s request for information, Roberts was permanently and indefinitely barred from associating with any FINRA broker as of 5/24/2018.
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Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. Our elder fraud attorneys have extensive experience in claims against stockbrokers relating to misappropriated funds or improper access to checking accounts. If you have any questions about how your account has been handled, call us toll free at 800-975-4345 to speak with an experienced securities attorney. Most cases handled on a contingent fee basis. You won’t pay legal fees unless we win your case.