Mark Roth has been litigating, and taking cases to trial for 34 years. He is rated AV Preeminent* by Martindale-Hubbell, demonstrating the highest degree of legal ability and ethical standards. Mark Roth was named as one of Chicago’s outstanding lawyers. He was also named as one of the top intellectual property litigators in the nation by American Lawyer Magazine.
Mark has represented foreign and domestic clients in courts throughout the country. Mark has won millions of dollars for his clients, at trials and in settlements. Mark recently won back to back multi-million-dollar jury trials. The first was a $5 million jury verdict for the firm’s client in Federal Court. Mark then won a State Court jury verdict for approximately $13 million.
Mark graduated in the top two percent of his law school class, and was an Editor of the school’s Law Review.
I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.
Merrill Lynch has terminated Daniel G. Diaz, a 37-year industry veteran, for refusing to apply commission discounts to certain client accounts as instructed by management, according to his Central Registration Depository (CRD) record.
Roger A. Gallagher has accepted an industry bar from FINRA rather than cooperate with a regulatory investigation. According to a FINRA Acceptance, Waiver, and Consent letter (“AWC”).
The Securities and Exchange Commission (SEC) has finalized a cease-and-desist proceeding against Rosedale, a former SEC-registered investment adviser, for violations of the Investment Advisers Act of 1940.
