Securities Arbitration Lawyers BlogMerrill Lynch Broker Anteneh Roberts Banned By FINRA After Misconduct Allegations
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.