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FINRA Awards for Michael T. Roche

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Displaying 11-15 out of 15 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0306311/23/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Mark Wood
Respondent Lawyers(s): Mark S. Wood
Arbitrator(s): Frederick Michael Switzer
Hearing Site: Kansas City, MO
10-0379711/14/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Benjamin Gentry
Respondent Lawyers(s): Benjamin Alvis Gentry
Arbitrator(s): Hugh J. Moore
Hearing Site: Nashville, TN
10-0550410/13/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Stuart Kimball
Respondent Lawyers(s): Stuart K. Kimball
Arbitrator(s): Richard E. Miley
Hearing Site: Columbia, SC
10-0574708/29/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Russell Hill
Respondent Lawyers(s): Russell Marvin Hill
Arbitrator(s): W. William Harness
Hearing Site: Atlanta, GA
10-0008011/15/2010Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): James Dowley
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Maureen Beyers
Hearing Site: Denver, CO

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