mark Roth
president & General counsel

Mark Roth has practiced corporate and securities law for over 23 years. Since 1989, Mr. Roth has been conducting or supervising litigation, public and private offerings, compliance, regulatory and transactional matters for brokers, broker-dealers, investment advisers, issuers and their respective affiliates and customers. He worked many years in-house as General Counsel, Chief Operating Officer and Secretary to self-clearing and introducing brokerage firms, investment advisers and their publicly-traded parents.

​Mr. Roth was an editor of the Law Review and graduated from Pepperdine University School of Law in 1989. He has served as an industry arbitrator with NASD (now FINRA) since 1994.