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Securities Arbitration & Mediation

SKU: LIT0080
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There is no easier, faster and more streamlined method of resolving disputes than through securities arbitration. Specifically, there are no costly or lengthy depositions, very limited motions and no required appearances until the hearing. While the term “securities arbitration” scares many practitioners away, what attorneys do not understand is that matters brought by customers against their stock brokers or brokerage firms are generally the same. That is, each case has similar legal issues, similar legal theories and are tried based on similar principles. That being said, while every case has different facts, this course will move you from a novice to an attorney knowledgeable of the ins and outs of customer disputes. It will also provide you with sufficient information to be ready to handle arbitrating and mediating securities disputes.

Lecturer Bio

Richard A. Roth, Esq.

Richard A. Roth is the founder and president of The Roth Law Firm, PLLC, a boutique litigation firm in midtown. The firm is highly regarded by its colleagues and peers for its strong litigation experience, aggressive nature and innovative "out of the box" thinking. Earning along string of successes on both a national and international level, the firm has represented publicly held corporations and privately held businesses, CEO's and industry magnates as well as celebrities, athletes, and professional sports organizations.

His firm has three concentrations: securities litigation/arbitration, employment litigation and sports/entertainment litigation. Mr. Roth has litigated several hundred cases in his career, which includes dozens of jury trials in state and federal court, dozens of appeals and hundreds of cases which he has settled. He is admitted to practice before the Courts of the State of New York, the United States District Courts for the Northern, Southern, Eastern and Western Districts of New York, the Second Circuit Court of Appeals, the Third Circuit Court of Appeals, the Eleventh Circuit of Appeals and the United States Supreme Court. He has also been admitted pro hoc vice in various other state and federal courts and has arbitrated disputes across the country.

He also practices before the various arbitration and mediation tribunals, including the American Arbitration Association ("AAA"), the Financial Industry Regulatory Authority ("FINRA"), National Association of Securities Dealers, Inc. ("NASD"), New York Stock Exchange, Inc. (“AMEX’). He also serves as an arbitrator before FINRA. Mr. Roth regularly travels across the country representing brokerage firms in securities arbitrations and defendants in large commercial and securities actions. His clients have ranged from large broker-dealers, clearing firms, and investment and financial institutions, to start-up ventures, governmental agencies, closely hel corporations and individuals.

Mr. Roth is a member of the Litigation and Entertainment Committees of the American Bar Association, a member of the Litigation and Legislation Committees of the New York State Bar Association and the New York County and a member of the small law firm committee of the New York City Bar Associations. Mr. Roth has also published articles on various aspects of litigation and has been quoted in magazines, periodicals, trade journals and daily newspapers. Certain of his results have received regional prominence and have been cited and discussed in legal journals. He also frequently judges high school debate tournaments at Princeton, Yale, Harvard and Columbia University annual High School Speech & Debate Tournament as well as those of the Catholic Forensic League (CFL), the National Forensic League (NFL) and the Mid Hudson League.(MHL) in Lincoln Douglas debate.

Mr. Roth received his B.A. degree, cum laude, from Union College in Schenectady,.N.Y. and his J.D. degree from Hofstra University School of Law where he graduated near the top of the class. While at Hofstra Law, Mr. Roth served as Associate Editor of the Hofstra Law Review and published The Essence of the Agent Orange Litigation: The Government Contract Defense. Mr. Roth's experience includes working for the Office of the United States Attorney General, interning for a Judge of the Second Circuit Court of Appeals and working for law firms both large and small.

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