CHUCK A ROBERTS

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/16/2025: Roberts refused to appear for on-the-record testimony noticed pursuant to FINRA Rule 8210. As a result, Roberts violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member firm in all capacities.
Reference 2023079140201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/05/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stephen G. Condos CRD No. 2064521 Chuck A. Roberts CRD No. 2064602 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Stephen G. Condos ("Condos") and Chuck A. Roberts ("Roberts") (together, "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2007010398801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2064602

Other names1

Also known as1

Chuck A. Roberts

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