About Us Founder & Associates Sample Client Listing

The clients of The Roth Law Firm span several industries and sizes; from Fortune 500 companies, investment banks, major conglomerate corporations and financial institutions to incubator companies, small businesses and individuals.

In the banking, investment banking and broker-dealer section of the firm, it has represented the following:

• national banks
• merchant banks and investment banks
• venture capitalists
• hedge funds
• NYSE and NASD broker-dealers
• public and private corporations
• investment partnerships
• financial service institutions
• introducing and clearing firms
• boards of directors, management and officers

Mr. Roth has effectively represented dozens of brokerage firms for the past twenty years and has successfully defended hundreds of securities arbitrations. Some of his victories have earned him national recognition not only for the results, but for obtaining attorneys' fees against claimants. He has also received awards for claimants in securities arbitrations, most of whom were customers of brokerage firms, which exceeds over thirty million dollars. He has also successfully defended actions brought relating to the private placement of securities, investment banking agreements, financial consulting agreements and initial public offerings. Mr. Roth has assembled a team of professionals who are highly qualified and well versed in securities licenses and commercial litigation practice. The team includes attorneys and paralegals who have securities licenses and substantial experience as financial professionals with a seasoned knowledge of all aspects of account management and a wide array of financial tools and their proper employment by investment professionals.

In the entertainment and sports arena, the firm has successfully represented celebrities on stage, television and the big screen as well as professional athletes, agents, major record labels, film companies, production and post-production companies, producers, an art graduate school, boxing promoters, sports memorabilia companies, art and sports auction houses, recording artists and recording groups.

On the employment front, the firm has represented both employees and employers in a wide variety of disputes including traditional breach of employment contract, non-solicitation, non-compete, trade secret/confidentiality, wrongful termination, terminations with or without cause, repayment of loans/notes, failure to pay salary/commissions and discrimination based on sex, age, disability, race and gender. These disputes have also been before federal and state courts as well as the various arbitration tribunals.

On commercial litigation matters, the firm represents many of the same clients in a variety of industries including the garment, jewelry, recruitment, shipping, exercise equipment, computer, pharmaceutical, banking, real estate and textile industries. The firm also represents real estate owners, brokers, developers and trustees, executors and administrators of estates. After almost twenty years in the practice of law, there are few industries which the firm's founder, Mr. Roth, has yet to represent.