The Roth Roundtable
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.