Who We Are
Mark Roth
Mr. Roth has practiced corporate and securities law since 1989. He started as an associate at a Los Angeles boutique firm, assisting clients primarily in corporate and securities issues, including numerous private placements and restructurings. In 1992, he moved to Seattle and expanded his securities clientele to brokers and dealers, assisting in transactions, dispute resolution and compliance issues. In 1995, Mr. Roth became General Counsel and Secretary for a publicly traded, self-clearing brokerage firm and its affiliated brokerage and advisory firms with offices throughout the United States. He returned to private practice in 1998, and now focuses primarily on broker-dealer and investment adviser, compliance, regulatory issues, litigation supervision and transactions. He is a member of the California and Washington bars, a FINRA arbitrator, and maintains his Series 7, 24, 63, and 66 licenses.