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Richard A. Roth

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.

[email protected] The Roth Law Fim PLLC

Richard’s Recent activity

Keep It Dark
Apr 01, 2005
Arbitrations are designed to be the final word in disputes between investors and the firms and reps that serve them. Thus, it is not surprising that when an NASD arbitration panel hands down a ruling, it measures its...
Sunset for Settlements?
Mar 01, 2004
ANASD rule change destined to take effect later this year would have the unintended consequence of making it harder for investors to obtain the redress they seek against brokers. Indeed, proposed Rule 2130, which...