TIMOTHY LEE ROACH is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 9900 CLAYTON ROAD, ST LOUIS, MO, 63124.
TIMOTHY LEE ROACH has worked at RAYMOND JAMES & ASSOCIATES, INC. since February 13, 2013
Disclosure History
TIMOTHY LEE ROACH has 2 Disclosure Event(s).
Date: April 08, 2013 Category: Customer Dispute Allegations: **UPDATE - THIS DISCLOSURE IS NO LONGER REPORTABLE ON THE CURRENT U4 BECAUSE IT WAS FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $15,000 OR MORE.** CLAIMANT ALLEGES MISREPRESENTATION. DATE OF ACTIVITY IS 2/06/2012. Damage Amount Requested: $175,000.00 Broker Comment: **UPDATE - THIS DISCLOSURE IS NO LONGER REPORTABLE ON THE CURRENT U4 BECAUSE IT WAS FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $15,000 OR MORE.**
Date: August 05, 2009 Category: Customer Dispute Allegations: 4. CUSTOMER CLAIMS THAT CORPORATE DEBT AND VARIABLE ANNUITY PURCHASED DURING THE TIME PERIOD OF MARCH 2008 THROUGH APRIL 2008 WERE MISREPRESENTED. COMPENSATORY DAMAGES UNSPECIFIED. Settlement Amount: $689.18 Broker Comment: "I DID NOT MISREPRESENT ANYTHING TO [CUSTOMER] RELATING TO HER VARIABLE ANNUITY OR ANY OTHER INVESTMENTS. A WITNESS TO THESE CONVERSATIONS HAS ATTESTED TO THIS BY AFFIDAVIT. A PROSPECTUS WAS PROVIDED TO HER ALONG WITH A PHONE CALL FROM BANK OF AMERICA'S COMPLIANCE DEPARTMENT."
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