Calendar:

 

ARTICLES and PRESS RELEASES :

Mr. Roth and/or his representations have been featured in the following magazines, newspapers, journals and periodicals:

Dow Jones, December 1, 2008 - Compliance watch: FINRA Issues Guidance on Cooperation

BNA, Inc., November 2008 - N.Y. Court Confirms Award Expunging Broker Record Despite AG's Objections

Press Release, November 11, 2008 - New York State Attorney General denied application to dismiss award expunging securities brokers' records

Press Release, October 27, 2008 - Federal Court Judge grants motion throwing out case brought by Destiny USA

New York Law Journal, October 20, 2008 - "Law Firm Backs Out of Lease" click here to view article

Press Release, October 3, 2008 - Spencer Trask wins FINRA Arbitration brought by disgruntled former employee

Press Release, July 1, 2008 - Attorney Suing Delta Is Giving Proceeds to Charity

New York Post, May 28, 2008 - "'Air Farce' Suit: $1M Fury At Delta Over Mom's Ruined Birthday" click here to view article

Daily News, May 28, 2008 - "Delta Ruined Our Dream Trip: Suit" click here to view article

Reuters, May 28, 2008 - "Lawyer Sues Delta For Ruining Family Vacation" click here to view article

WTOP News, May 28, 2008 - "Lawyer Sues Delta Over Delayed Trip To Argentina" click here to view article

Investment News, April 14, 2008 - "GunnAllen and Former Executive Claim Victory in Arbitration Ruling" click here to view article

St. Petersburg Times , April 7, 2008 - "GunnAllen told to pay ex-manager" click here to view article

Press Release, April 4, 2008 - FINRA Arbitration Panel Finds GunnAllen's Actions "Malicious and Intentional"

Wall Street Journal, March 26, 2008 - "GFI Ordered to Pay $1.3M To Burlington Capital" click here to view article

Financial Services Law 360, March 26, 2008 - "FINRA Orders GFI To Pay Burlington Capital $1.3M" click here to view article

Press Release, March 25, 2008 - FINRA Arbitration Panel Awards Raided Brokerage Firm $1.3 Million

The Swartz Creek News, March 16, 2008 - "Suits Accuse Man Of Investment Fraud" click here to view article

Compliance Reporter, February 18, 2008 - "SEC Closes Speedy Insider Trading Case" click here to view article

Forbes Magazine, November 26, 2007 - "Street Pariah" click here to view article

Employment Law 360, November 14, 2007 - "Ex-Bloomberg Employee Joins EEOC's Pregnancy Suit" click here to view article

New York Times, November 14, 2007 - "4th Woman Joins U.S. Bias Suit Against Bloomberg L.P." click here to view article

WTOPnews.com, October 3, 2007 - "Suit: Bloomberg Condoned Discrimination" click here to view article

New York Post, September 29, 2007 - "A Mother of a Suit" click here to view article

NYTimes.com, September 29, 2007 - "Suit to Scrutinize Bloomberg Era at Firm" click here to view article

NYDailyNews.com, September 29, 2007 - "Fourth woman sues Bloomberg L.P. over discrimination" click here to view article

WallSt.net, September 28, 2007 - "Bloomberg L.P. the target of many discrimination suits" click here to view article

1010wins.com, September 28, 2007 - "Bloomberg L.P. the Target of Many Discrimination Suits" click here to view article

Townhall.com, September 25, 2007 - "Bloomberg L.P. the Target of Many Lawsuits" click here to view article

Bloomberg.com, September 7, 2007 - "Accused Bogus Bidder Niren Fails to Appear in Court in SEC Case" click here to view article

Hedge Fund Alert, August 1, 2007 - "Lawsuit Points Out Unusual Fee Use" click here to view article

ABC News, July 24, 2007 - "Boston's Ortiz not signing enough autographs-suit" click here to view article

Press Release, July 23, 2007 - Big Papi to be taught a Big lesson

ESPN, July 2007 - "Ortiz sued by New York company for breach of contract" click here to view article

Yahoo Sports, July 20, 2007 - "David Ortiz sued over memorabilia deal" click here to view article

New York Post, July 1, 2007 - "New $crap for Hottie & Hockey Ex" click here to view article

Press Release, February 16, 2007 - Arbitrator issues sizeable award against Rhode Island jewelry manufacturer for pushing aside and ignoring its licensor

Press Release, September 27, 2006 - Appellate Court throws out appeal

Press Release, September 19 2006 - NASD Panel Punishes Brokerage Firm, Principal for Unfair Competition

Press Release, August 2, 2006 - Jeweler Wins Jury Verdict Before New York Supreme Court

Bloomberg.com, July 31, 2006 - "Merrill to pay $1.25 Million for Failing to Hedge Client Stocks" click to view article

Dow Jones, July 31, 2006 - "Merrill to pay $1.25 Million for Failing to Hedge Client Stocks" click here to view article

Press Release, July 25, 2006 - Merrill Gets Hit for Close to $2 Million by NASD Panel

Press Release, April 7 2006 - Investors Sue MCC Over Alleged False Press Releases

Press Release, December 20, 2005 - Federal Judge Throws Out $16 Million Case Against the Sands Brothers

Institutional Investor, November 18, 2005 - "Perella, Meguid Seen Starting up M&A Shop" click to view article

Hedge Fund Alert, November 9, 2005 - "Recruiter Sues Blackstone Over Fee" click here to view article

Registered Rep., May 2005 - "The Worst is Over - Probably" click here to view article

Entertainment Weekly, April 22, 2005 - "The New Age of Greed" click here to view article

Registered Rep., April 2005 - Endpiece: “Keep It Dark” click here to view article

New York Law Journal, January 6, 2005 - “To Write or Not to Write – The Arbitral Dilemma”
click here to view article

Press Release, December 7, 2004 - Trading Department Head Awarded $240,000

BusinessWeek, August 16, 2004 - “The Brokers Strike Back” click here to view article

The Journal of American Arbitration, 2004/Vol.3 No. 1 - “Over-preemption of State Vacatur Law” click here to view article

Registered Rep., May 2004 - Reports: “Out, Damn Spots”
click here to view the above article

Registered Rep., April 2004 - Editor’s Letter: “Paying to Play”
click here to view the above article

New York Law Journal, April 22, 2004 - “Brokerage Firms Suing their Customers? Its Time to Take the Gloves Off!” click here to view the above article

Registered Rep., March 2004 - “Sunset for Settlements”
click here to view the above article

The Journal News, October 22, 2003 - “Former Tarrytown Brokerage Expelled"
click here to view the above article

Registered Rep., September 2003 - “Preventative Medicine for the Retail Broker”
click here to view the above article

New York Post, March 2, 2003 - “Stars Still Flock to Autograph Fraud”
click here to view the above article

New York Law Journal, February 27, 2003 - “California Defendants Transacted Business in New York” click here to view article

New York Law Journal, February 25, 2003 - “Football Player is Awarded $105,000 For Appearances at Autograph Shows” click here to view the above article

Compliance Reporter, February 10, 2003 - “Firm Wins Rare Arb Legal Fees”
click here to view the above article

New York Law Journal, January 30, 2003 - “Commercial Divisions Roundup - Arbitration Awards”

New York Law Journal, January 16, 2003 - “Recent Ruling Vacates $28 Million Finding for Claimant” click here to view the above article

SAC Alert, December 10, 2002 - “Lesson to Arbitrators: When a Court Remands With Instructions, Arbitrators Must do as the Court Wants or Their Award Will be Deemed Irrational”

The Wall Street Journal, November 18, 2002 - “Generex Biotech: Favorable Decision in Sand Bros. Proceeding”
click here to view the above article

The Jewish Week, August 9, 2002 - “Austrian Banks to Begin Paying Survivors” click here to view article

Sports Business Journal (Street & Smith’s), March 11-17, 2002 - “Colts QB Sues Memorabilia Dealer”

The Jewish Week, March 1, 2002 - "$5 Million Asked For Lawyers in Swiss Deal" click here to view article

Compliance Reporter, February 25, 2002, Front Page - “Double Whammy - CIBC hit with Defamation Counterclaim” click here to view article

The Jewish Week, February, 2002 - "Attorney Questioning Lawyers' Fees in Slave Labor Case" click here to view article

The Patent Trader, January 24, 2002 - “Village Disputes Elderly-Discrimination Claims” click here to view article

The Journal News, January 22, 2002 - “$8.4 Million Lawsuit Accuses Village of Denying Assisted Living to Seniors” click here to view article

Compliance Reporter, December 31, 2001 - “Here We Go Again - Sands Bros., Generex Still In Spat Over NYSE Arb Decision” click here to view the above article

Sports Business Journal (Street & Smith’s), August 13, 2001 - “A Grade 10 Dustup in Collectibles” click here to view the above article

Securities Regulation and Law Report, January 29, 2001 - “Investment Banker Wins Dismissal of Claims Over Alleged Takeover Scheme” click here to view article

Daily News, November 1, 2000 - "Wedding Tape? For you, it's Free." click here to view article

New York Post, October 1, 1998 - "Legal Aid" click here to view article

Sports Illustrated, February 10, 1997 - “A Sporting Start” click here to view article

Art & Auction, June 1996 - “Around the Block” click here to view article

New York Law Journal, October 13, 1995 - "Arbitration Award Confirmed" click here to view article

Chenango Valley News, January 28, 1992 - "NBT confident that ex-CEO's lawsuit will fail" click here to view article

The Evening Sun, January 27, 1992 - “Lawsuit against NBT dismissed" click here to view article

New York Law Journal, July 16, 1990 - "First Judicial Department: Preliminary Injunction Denied" click here to view article

The National Law Journal, March 26, 1990 - “Jeans Feud Gets Down to Money” click here to view article

RECENT LECTURES, SPEECHES AND SEMINARS:

Mr Roth frequently conducts seminars, interviews and round table discussions at various organizations, institutions and companies on a plethora of issues including but not limited to securities, employment, intellectual property and general litigation risk avoidance techniques and strategies.

April 16, 2008

Mr. Roth conducted a CLE seminar sponsored by Hudson Valley Bank entitled "Impact Issues in the Music and Film Industries" for more information please click here

January 25 - 27 2008

Mr. Roth judged the Columbia University National High School Debate Tournament.

November 30 and December 2, 2007

Mr. Roth judged the High School National Debate Tournament at Princeton University.

November 29, 2007

New York State Bar Association: Securities Arbitration and Mediation 2007 - "The Hearing (The Big Day - or Three, or 10?) - Part I" click here for details

November 9 and 10, 2007

Mr. Roth judged Henry Hudson High School's National Debate Tournament.

October 31, 2007

Blog Talk Radio: "Avoiding the Pitfalls of Litigation". To listen to this interview click the link below. http://www.blogtalkradio.com/edmundbogen

August 2, 2007

Roth Round Table: Ethics in Mediation and Arbitrations. Mr. Roth and a panel of professionals presented a seminar on ethics in arbitration and mediation, which was approved for NYS CLE credits in ethics. click here for details

April 14, 2007

Richard A. Roth, Esq. was a guest speaker on Green America with Marc Sussman, which airs live on Air America Radio WWRL 1600 AM on Saturday April 14, 2007 at 3pm- 4pm.

March 7, 2007

Mr. Roth co-chaired a seminar sponsored by the New York City Bar Associations Small Law Firm Committee entitled: Growing your Law Firm. CLICK HERE FOR DETAILS

January 23, 2007

Mr. Roth conducted a seminar, Sponsored by The State Bank of Long Island at the Yale Club in New York City entitled The Roth Law Firm: Nuts and Bolts of Securities Arbitration.

Nov 16, 2006

Mr. Roth conducted a seminar entitled The Roth Roundtable: The ABC's of NASD/NYSE Arbitrations, at the Roth Law Firm The Roth Round Table is an annual forum attended by securities experts and professionals that is supported and accredited by the New York State Continuing Legal Education Board. The Roth Roundtable addresses hot topics in securities arbitration and litigation. The firm regularly provides lectures and discussions to brokerage firms, investment banks and other institutions. Some topics include the prevention of lawsuits and arbitrations, duties owed to customers, suitability, churning, unauthorized trading, compliance, supervision, control liability and “know your customer” issues.

May 24 - 25, 2006

Mr. Roth spoke at the 3rd Annual Broker Dealer forum on resolving customer claims - Best defense and advocacy tactics in Arbitration and Mediation

April 15, 2006

Richard A. Roth, Esq. was a guest speaker on Green America with Marc Sussman, which aired on Air America Radio 1190 WLIB. Mr. Roth discussed the potential pitfalls that investors face when dealing with their account executives at brokerage firms and the ways in which they can better watch over their money and prepare themselves when it comes to protecting  their investments.

Click below to hear a broadcast of the Radio Show Green America with Marc Sussman - Ft. Richard Roth as Guest Speaker.

Part 1, Part 2, Part 3, Part 4.

February 22-23, 2006 American Conference Institute, “Broker/Dealer Email & Information Management - Balancing Cost & Compliance in Your Document Retention Policies” click here to view brochure

March 16, 2005

American Conference Institute, Workshop - “Building a ‘Best Practice’ Policy in Broker/Dealer Records Management.”

May 13, 2004

NYSSCPA Annual Broker/Dealer Conference, - Keynote Speaker

June 2003

Movie Writers Network, - “Protecting Yourself from Potential Liability”

July 9, 2002

IONA Challenge, - “Finding Your Way Through the Litigation Maze”