Contributors

Richard Roth

Richard Roth is the founder and president of The Roth Law Firm, PLLC, a boutique litigation firm that...

May 28, 2015

The FINRA Roach Motel: Dismissing a FINRA Arbitration

Motions to dismiss are integral to the court system – they give defendants the opportunity to sidestep hundreds of thousands of dollars in legal fees and unnecessary time defending legally baseless claims. As for the courts, it clears up the docket by allowing judges to only adjudicate legitimate cases, freeing up court time and....More
What's Inside the Litigation Lion?

An inside view of trends in SEC/FINRA regulatory and compliance issues and how it affects individual financial advisors and their firms.

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