Joshua D. Roth
is a partner in Fried Frank's White Collar Defense, Regulatory Enforcement & Investigations and Commercial Litigation Practices. Mr. Roth represents entities and individuals in a diverse range of complex white collar, regulatory, and commercial litigation matters, including investigations and enforcement actions by various federal and state government authorities. Mr. Roth also counsels clients on the Foreign Corrupt Practices Act (“FCPA”) and related anti-corruption laws, representing entities and individuals in connection with investigations and internal reviews, anti-corruption due diligence for transactions, and designing and implementing anti-corruption compliance programs. 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 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;
- 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, also known as the "Customer Protection Rule") in connection with a complex leveraged trading strategy.
- Leading investigations and internal reviews regarding alleged violations of the Foreign Corrupt Practices Act (FCPA). Counseling clients on the FCPA and related anti-corruption laws. Leading FCPA-due diligence for dozens of transactions every year (and hundreds over the past decade).
- 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 and obstructions of justice 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 shipping industry executive against criminal antitrust charges by the DOJ; and
- Serving as part of the Fried Frank-led monitoring team for a consent decree between the DOJ (Civil Rights Division) and the US Virgin Islands Police Department relating to use of force.
- 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 on all counts.
- Representing a boutique investment bank in connection with a fee dispute in the Southern District of New York, and providing advice to clients on all sides of potential fee disputes relating to financial advisory services;
- 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 clients in connection with indemnification and other disputes relating to M&A transactions;
- Defending Malaysia Airlines in connection with antitrust class action lawsuits in the Eastern District of New York and the Northern District of California; and
- Responding to a "second request" from the DOJ in connection with the acquisition of a public company.
Mr. Roth also maintains an active pro bono practice, defending clients in criminal and civil proceedings in the Southern District of New York, New York State courts, and Immigration Court. Mr. Roth has represented clients on a pro bono basis in criminal proceedings in the Southern District of New York, including clients charged with multiple felony violations. Mr. Roth also 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 written on various legal topics and has contributed articles to New York Law Journal
and New York Commercial Litigation Insider
, among other publications. Mr. Roth's articles have also been re-published by prominent journals, including the Harvard Law School Forum on Corporate Governance and Financial Regulation and by the Employee Relations Law Journal.
Mr. Roth was 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
Mr. Roth was also recently quoted by NBC News regarding the Michael Cohen case and potential FCPA implications for President Trump relating to the Russia investigation. The article can be found here
Bar Admissions/Licensed Jurisdictions
New York; US District Court for the Southern and Eastern Districts of New York