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FINRA Awards for Jeffrey R. Roth

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Displaying 10 out of 18 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0206705/04/2017Claimant(s): Jonathon Jay Marks, Suzana Rockwell Marks
Claimant Lawyers(s): Jonathon Jay Marks, Suzana Rockwell Marks
Respondent(s): Morgan Stanley, Lewis Robinson
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): James D. McDonald, Jeffrey R. Roth, Victoria G.A. Willingham
Hearing Site: Ft. Lauderdale, FL
Checkmark Icon$29,360
16-0130002/21/2017Claimant(s): Norcell McRay
Claimant Lawyers(s): Norcell McRay
Respondent(s): Devon Mclean, Everett Walker
Respondent Lawyers(s): Devon Coulin Mclean, Everett Scoville Walker
Arbitrator(s): Jeffrey R. Roth
Hearing Site: Miami, FL
Checkmark Icon$35,000
13-0286601/11/2017Claimant(s): Madeline Gomez-Horta, Socorro Horta, Victor Gomez, Inversiones VM Gomez
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): Jose Ramirez, UBS Financial Services Inc., UBS Financial Services Inc Puerto Rico
Respondent Lawyers(s): Guillermo Ramos Luina, Peter J. Macdonald, Roberto C. Quinones-Rivera
Arbitrator(s): S. William Gersten, Jeffrey R. Roth, Ivy Robin Ginsberg
Hearing Site: San Juan, PR
Checkmark Icon$18,214,900
11-0423710/13/2014Claimant(s): James Mahan
Claimant Lawyers(s): Sean C. Domnick
Respondent(s): Banc of America Investment Services, Bank of America, N.A.
Respondent Lawyers(s): Gregory J Trask, Peter W. Homer
Arbitrator(s): Jonathan H. Parker, Jeffrey R. Roth, Shobha Bangalore Nagaprasanna
Hearing Site: Miami, FL
Checkmark Icon$0
11-0103107/02/2014Claimant(s): Ramon Ramirez, Sylvia Ramirez
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Citigroup Global Markets., Popular Securities.
Respondent Lawyers(s): Jason S Haselkorn, Roberto C. Quinones-Rivera
Arbitrator(s): Charles Hoffman, Stuart K. Furman, Jeffrey R. Roth
Hearing Site: San Juan, PR
Checkmark IconExpungement
11-0260112/30/2013Claimant(s): Robert Peyser
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Laurence Briggs, Lawrence Kirshbaum, Timothy Gautney, William Chapman, Alexander Capital Markets, Alexander Financial, Aura Financial Services., Investin Securities Corp., Prestige Financial Center.
Respondent Lawyers(s): Laurence Briggs, Lawrence Kirshbaum, Legal Department, Timothy Gautney, William Chapman
Arbitrator(s): Jeffrey R. Roth, Louis David Huss, Robert Charles Stamm
Hearing Site: Miami, FL
Checkmark Icon$1,722,330
12-0184208/28/2013Claimant(s): International Alliance, C.V.
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): James M. Scutti, Jeffrey R. Roth, Lawrence Goldberg
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
11-0279401/17/2013Claimant(s): Inversiones Kaizen Ltd.
Claimant Lawyers(s): Jeffrey B Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): John J. Hearn, Jeffrey R. Roth, Stanley Zamor
Hearing Site: Miami, FL
Checkmark IconExpungement
10-0559911/20/2012Claimant(s): Victor Graulau Colon, Victor Graulau Muenchow
Claimant Lawyers(s): Scott L Silver
Respondent(s): Popular Securities.
Respondent Lawyers(s): Roberto Quinones-Rivera
Arbitrator(s): Steven R. Reininger, Reinaldo Royo, Jeffrey R. Roth
Hearing Site: San Juan, PR
Checkmark IconExpungement
10-0379305/04/2012Claimant(s): Gerardo Gerson, Rivadavia S.A.
Claimant Lawyers(s): Quinn Smith
Respondent(s): UBS Financial Services Inc., Olga Pereira
Respondent Lawyers(s): Andrew Sidman, Jeffrey L. Bernfeld
Arbitrator(s): Jeffrey R. Roth, Renaldy Jose Gutierrez, Alisa Matire
Hearing Site: Miami, FL
Checkmark Icon$0

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