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FINRA Awards for Lawrence J. Roth

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0389804/11/2013Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): A. J. Borrelli
Respondent(s): James Meis
Respondent Lawyers(s): Thomas J. Momjian
Arbitrator(s): Benjamin F. Richards, David M. Panko, Lawrence J. Roth
Hearing Site: Philadelphia, PA
10-0217710/07/2011Claimant(s): JonesTrading Institutional Services LLC
Claimant Lawyers(s): Daniel J. Kornstein
Respondent(s): Charles Manning, Douglas Finnegan, Ermenegildo Niutta, Mark Edgar, Meredith Curley, Nomura Securities International.
Respondent Lawyers(s): David Potter, Pearl Zuchlewski, Robin D. Fessel
Arbitrator(s): Alun Hywel Jones, Paul Giappone, Lawrence J. Roth
Hearing Site: New York, NY
06-0499810/24/2007Claimant(s): Richard Streisfeld
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Michael Ross, Sherri L. Hughes, Lawrence J. Roth
Hearing Site: New York, NY

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