Joshua D. Roth
represents entities and individuals in a diverse range of complex white collar, regulatory, and commercial litigation matters. Mr. Roth also represents entities and individuals in investigations and enforcement actions by various federal and state government authorities. Mr. Roth counsels clients on the Foreign Corrupt Practices Act and related anti-corruption laws, representing entities and individuals in connection with investigations, anti-corruption due diligence for acquisitions, underwritings, and financings, and designing and implementing anti-corruption compliance programs for businesses in various industries. Mr. Roth also litigates corporate matters and business disputes in state and federal courts.
A representative sample of Mr. Roth's representations include:
Regulatory and Government Investigations
Commercial Litigation and Civil Antitrust
- Representing a former Managing Director and Head of Regulatory Reporting at Bank of America in a favorable settlement with the Securities and Exchange Commission (SEC). The SEC had alleged that the Firm's client aided and abetted and/or caused securities law violations (including violations of Exchange Act Rule 15c3-3, which is also known as the "Customer Protection Rule") in connection with a complex leveraged trading strategy.
- Representing entities and individuals in investigations and enforcement actions by the Department of Justice (DOJ), the United States Attorney's Office for the Southern District of New York, the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the New York State Department of Financial Services, among others;
- Counseling clients on the Foreign Corrupt Practices Act (FCPA), representing entities and individuals in connection with FCPA investigations, conducting anti-corruption due diligence for acquisitions, underwritings, and financings, and designing and implementing anti-corruption compliance programs for businesses in various industries. Mr. Roth had also led training seminars concerning anti-corruption compliance for executives at a number of large companies;
- Representing the head of investor relations at a public company who was charged with securities law violations by the SEC in the Southern District of New York;
- Representing the former CEO of a broker-dealer who was charged with criminal securities law violations by the United States Attorney's Office for the Southern District of New York and resolving a parallel civil enforcement action by the SEC.
- Representing a senior executive in connection with a criminal antitrust investigation by the DOJ; and
- Serving as part of the Fried Frank-led monitoring team for a consent decree between the DOJ and the US Virgin Islands Police Department relating to use of force practices and procedures.
- Defending Deutsche Bank against claims that it aided and abetted alleged breaches of fiduciary duty in connection with David H. Murdock's acquisition of Dole Food Company, Inc. in Delaware Chancery Court. Following a two-week trial, the Court found in favor of Deutsche Bank.
- Representing a real estate developer in a breach of contract action relating to the sale of air rights next to the High Line in Manhattan in New York State court;
- Representing a boutique investment bank in connection with a breach of contract action in the Southern District of New York;
- Defending Malaysia Airlines in connection with an antitrust class action lawsuit in the Eastern District of New York; and
- Responding to a "second request" from the DOJ in connection with the acquisition of a public company.
Mr. Roth also maintains a very active pro bono practice, defending clients in criminal and civil proceedings in New York State courts and in the Southern District of New York. Mr. Roth successfully sought leave to appeal a pro bono client's criminal conviction to the New York State Court of Appeals, where he argued the appeal. Mr. Roth has also represented clients on a pro bono basis in Immigration Court.
Mr. Roth has written on various legal topics and has contributed articles to New York Law Journal
and New York Commercial Litigation Insider
, among other publications. In addition, Mr. Roth was recently quoted by The American Lawyer
in connection with a favorable settlement with the SEC achieved by the Firm for a former executive at Bank of America. The settlement was featured in the "Litigator of the Week” column in The AM Law Litigation Daily
. The publication focuses on cases that have great impact on the legal community and highlights both impressive lawyering and results. The article can be found here
Bar Admissions/Licensed Jurisdictions
New York; US District Court for the Southern and Eastern Districts of New York