Hon. Kathleen A. Roberts (Ret.)

T: 212-751-2700
F: 212-751-4099

Locations

Available nationwide
Securities
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

Honors, Memberships, and Professional Activities

  • Mediation Settlement Day Frontline Champion Award, New York Unified Court System, 2016
  • Fellow, Chartered Institute of Arbitrators
  • Member of the mediation panels for the United States District Courts in the Southern and Eastern Districts of New York; Commercial Division of the Supreme Court, New York County; and Bankruptcy Courts of the Southern and Eastern Districts of New York
  • Frequent participant in bar association programs and continuing legal education programs on mediation and arbitration
  • Admitted to practice in New York and before the U.S. Court of Appeals for the Second Circuit
  • Member of the New York City Bar

Background and Education

  • United States Magistrate Judge, Southern District of New York, 1985-1995
  • Assistant United States Attorney, Southern District of New York, Criminal and Civil Divisions, 1979-1985
  • Law Clerk, Judge William C. Conner, U.S. District Court for the Southern District of New York, 1977-1979
  • J.D., Yale Law School, Editor of the Yale Law Journal, 1977
  • B.A., summa cum laude, University of Massachusetts (Boston), 1971

Disclaimer

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