Richard Roth

Founder and President, The Roth Law Firm, PLLC

Richard Roth is the founder and president of The Roth Law Firm, PLLC, a boutique litigation firm that concentrates in litigating securities arbitrations and SEC/FINRA enforcement actions. He has earned a long string of successes on both a national and international level. Mr. Roth has successfully represented publicly held corporations, broker/dealers, hedge funds, investment bankers and private equity entities. He has been arbitrating in front of FINRA (and its predecessors) for close to 30 years. Mr. Roth frequently appears on television, including FOX News, CBS, CNBC, MSNBC and CNN.

Posts in Inside the Litigation Lion view all

Jun 25, 2012

How the SEC and FINRA are in Danger of Destroying Their Own Industry

The SEC and FINRA created the Suitability Rule with the publicly-professed intention of improving the efficiency of the securities industry....More
Jun 18, 2012

Regulators Go After Little Firms, It’s an Easy Win

Since the Madoff debacle, we have regularly seen articles about enforcement "ramping up," and "getting tougher, more vigilant." But is that really....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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