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WARNING! Investigation of MICHAEL ROCHE of UBS Financial

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05
Sep

WARNING! Investigation of MICHAEL ROCHE of UBS Financial

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WARNING!  Investigation of MICHAEL ROCHE of UBS Financial

 Israels & Neuman, PLC Investigates Michael Roche of UBS Financial Services

 

Have you lost money with financial advisor Michael Patrick Roche of UBS Financial Services in Grand Blanc, Michigan?  The Law Firm of Israels & Neuman is investigating allegations of customers related to Michael Roche. Michael Roche has been the subject of six customer complaints.  The latest complaint alleged that Roche recommended that a customer cash out a pension and invest the lump sum in a variable annuity.  Roche denies the claim.

 

Michael Patrick Roche has been a registered representative of UBS Financial Services from 2005 to the present.  He has worked at a branch office in Grand Blanc, Michigan.

 

Brokerage firms like UBS Financial Services have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Phoenix, Arizona, Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Michigan and throughout the Detroit area.  Attorney Aaron Israels is licensed to practice law in Michigan, he grew up in Holland, Michigan and also lived for many years in the Detroit area.  We have also represented a number of victims who have been wronged by Michigan brokers, including Christopher Tolmacs.   Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past, including UBS Financial Services.

 

If you lost money with Michael Roche or UBS Financial Services, please CONTACT US at 720-599-3505 or 206-795-5798 for a free evaluation of your case.

 

 

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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