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FINRA Awards for Oliver P. Roche

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0024903/04/2016Claimant(s): McDermott Investment Services
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Marilee Hill, Concorde Investment Services, The Estate of Chester Ju, The Estate of Shirley Jean Ju
Respondent Lawyers(s): Derek Domian, Gerry J. Kowalski, H. Thomas Fehn, Richard J. Rosensweig
Arbitrator(s): Anne Q. Uno, Jane A. Smith, Oliver P. Roche
Hearing Site: Washington, DC
09-0001806/25/2009Claimant(s): Charlotte D. Botello Revocable Trust
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Global Brokerage Services.
Respondent Lawyers(s): Gregory T. Lawrence
Arbitrator(s): Paul Davis Pearlstein, Mona Koppel Mitnick, Oliver P. Roche
Hearing Site: Washington, DC
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