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 by Richard Roth

FINRA Hits The Rep While He is Down

FINRA, by its new rule, is again hurting the broker....More

Reading The FINRA Enforcement Tea Leaves

For several years the FINRA enforcement arm grew bigger and bigger. Its staff increased. The number of actions increased. The number of fines....More

Death of the Small Broker-Dealer

Over the past decade, a tremendous amount of pressure has been laid on the shoulders of the small broker-dealers of the securities industry. Like the....More

Five Tips To Prevent A Suit Against a Stock Broker

Times are great. The market is soaring. Stocks are generally doing well. And the woes of 2007 and 2008 are a faded memory. And, of course, all....More

FINRA’s “Present,” The Wells Notice: Is It Beatable?

So, you go to your mailbox and receive a letter from FINRA or the SEC which is titled a Wells Notice. Is it the beginning of the end of your career....More

Obama's Reelection - Buckle Up Broker

In the wake of President Obama’s recent reelection, the nation is certain to face a bevy of changes....More

The Form U-5: Why New York Got It Wrong

Richard Roth, Esq., of The Roth Law Firm, opines, now that the dust has settled on the controversial decision in Rosenberg, which deemed Form U-5....More

Why the SEC Should Not Be Untouchable

Throughout the rise of the financial industry, there has been a justifiably strong desire on the part of individuals and broker-dealers to hold the....More

The Whistleblower Act – Is It Working?

Since the August 2011 adoption of the Dodd-Frank Wall Street Reform and Consumer Protection (Dodd-Frank) Act, the barriers for employees of SEC-....More

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."....More
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