Hon. Kathleen A. Roberts (Ret.)has been a full-time mediator, arbitrator, and special discovery master since 1995. She is highly regarded for her skillful facilitation, careful neutral evaluation, and persistence in resolving all types of disputes, and for her ability to manage complex arbitrations and provide well-reasoned awards.
Representative Mediations
- Settled an action alleging an institutional investor's breach of contract to purchase securities known as "residuals"
- Settled an action by investors alleging federal securities violations and common law fraud in connection with the purchase and sale of debentures
- Settled three multi-million dollar class actions, pending in state and federal court, brought by former executives of a major brokerage firm, alleging securities violations and breach of contract in connection with an equity compensation plan
Representative Matters
- Managed pretrial proceedings in a case alleging securities violations and common law fraud by a major securities firm in connection with the marketing of limited partnerships to finance the development of a luxury hotel
- Managed pretrial proceedings in a consolidated multi-district class action litigation against officers, brokers, accountants and attorneys arising from a massive "ponzi scheme" fraud in the issuance of stock, bonds and promissory notes by corporations that purchased health care receivables
- Managed pretrial proceedings in an action by the SEC alleging illegal markups by a market maker in "penny" stocks
- Managed pretrial proceedings in litigation involving alleged misrepresentations in the sale of convertible subordinated debentures that decreased in value following a friendly takeover
