Mike is the founding member of Roche Law Group.  Mike’s practice focuses on restrictive covenant and trade secret counseling and litigation involving situations in which an employee or team is transitioning to a competitor.  Over the years, Mike’s practice has been concentrated in the financial services industry, counseling financial advisors and wealth management firms on the “dos and don’ts” of an advisor’s transition to a competitor.  Mike and his team also represent wealth management firms on how to enforce restrictive covenants when financial advisors depart to a competitor. 

 

When necessary, Mike and his team represent financial advisors and wealth management firms in court and FINRA arbitrations throughout the country, handling all aspects of litigation, from emergency injunctive hearings, trial and FINRA arbitrations.  Mike’s clients include UBS, Raymond James, Steward Partners, Wedbush, and financial advisors transitioning to a competitor. 

 

Mike also represents clients in FINRA arbitrations involving promissory notes and sales practice claims.  Mike has a 15-1 record in promissory note cases that went to award, representing in excess of $2,600,000.00 in damages.

 

Finally, Mike represents clients in litigation matters outside the financial services industry, serving as trial counsel for corporations and individuals in breach of contract, fraud, and employment matters.

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RECENT ACHIEVEMENTS:

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• November 17, 2025 – Jennifer Germano vs. Raymond James Financial Services, et al., FINRA Case No. 25-00170.  Secured FINRA Arbitration Award granting expungement of customer dispute information on a financial advisor's CRD Record.  The arbitrator reasoned that the expungement was warranted because the customer complaint was clearly erroneous, false, and factually impossible.  Read Award.

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• November 12, 2025 – Steward Partners Investment Solutions, LLC, et al. vs. Andrew Joseph Egber, FINRA Case No. 24-02497. Secured FINRA Arbitration Award in a default judgement in favor of wealth management firm involving claims of breach of contract and fraud.  Successfully obtained a ruling that the associated person accepted service in his employment agreement.  The arbitration panel rendered a $350,000.00 award in favor of Steward Partners.  Read Award.

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• August 25, 2025 – Jennifer Germano vs. Raymond James Financial Services, et al., FINRA Case No. 25-00170.  Successfully defended a firm and financial advisor against a customer complaint, where claims for breach of fiduciary duty, misrepresentation, non-disclosure, and omission of facts were denied in their entirety.  Read Award.

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• March 3, 2025 – Hightower Holding, LLC and Hightower Advisors, LLC v. Faiza Kedir, 23 CV 15616 (N.D. Ill. Mar. 3, 2025).  Won motion to dismiss a violation of Computer Fraud and Abuse Act claim.

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• August 2, 2024 – Steward Partners Investment Solutions, LLC v. Colton Jacob, FINRA Case No. 23-00386. Secured FINRA Arbitration Award in favor of wealth management firm in a promissory note matter.  The arbitrator awarded the full amount requested, which included the principal balances due on the notes, plus interest, attorneys’ fees, and costs. Read Award.

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• July 30, 2024 – Rick Fuchs and Graham Heck v. Steward Partners Global Advisory, LLC and Steward Partners Management Holdings, LLC, 1:23-CV-1178-DII (W.D. Tex. Jul. 30, 2024). Obtained dismissal of Complaint brought pursuant to the Securities Act of 1933 in federal district court in Texas.  The Court determined that the claims were required to be brought in arbitration before FINRA. Read Opinion.

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• July 23, 2024 – Steward Partners Investment Solutions, LLC v. Vincent C. Fuchs, FINRA Case No. 23-00384. Obtained FINRA Arbitration Award in favor of wealth management firm in another promissory note litigation matter.  Again, the arbitrator awarded over the full amount requested ($584,506.09), which included interest, attorneys' fees, and costs. Read Award.  

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• July 11, 2024 – Hightower Holding, LLC and Hightower Advisors, LLC v. Faiza Kedir, 23 CV 15616 (N.D. Ill. Jul. 11, 2024).  Defeated former employer's attempt to obtain emergency injunctive relief in the form of restraining the advisor from contacting her clients.  The Court went so far as to hold that the employer’s firm wide non-solicitation clause and confidentiality clause were unenforceable nationwide. Read Opinion. 

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OTHER REPRESENTATIVE MATTERS:

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• UBS Financial Services Inc. v. Wells Fargo Advisors, LLC, et al., FINRA Case No. 12-00554. Lead member of trial team that represented UBS Financial Services Inc. in a four week arbitration against Wells Fargo Financial Advisors, LLC involving claims of trade secret misappropriation, breach of contract and breach of fiduciary duty.  The arbitration panel rendered a $1,100,000.00 award in favor of UBS.  The Panel’s decision made national headlines, including articles in the Wall Street Journal and Law 360.  Read Award.

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• Transitioned without litigation the entire Chicago leasing department of Cushman & Wakefield to its main competitor, CBRE.  The team was comprised of nine commercial real estate brokers and three assistants, covered in Crain’s Chicago Business.

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