TIMOTHY LEE ROACH

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."

More Information

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