James L. Rothenberg

Sole Practitioner, Law Office of James L. Rothenberg .
6 Brianna Road
Holland, PA 18966

Work: 215 579-2370
Cell: 609 273-8989
James L. Rothenberg, S.P.

Manipulation, Fraud, Suitability, Supervision, Breach of Fiduciary Duty, Negligence, Federal and State Securities Laws, Mutual Funds, Investment Advisors, Statute of Limitations, Punitive Damages, Defenses to Claims, Raiding, Bonuses,Contracts

Brandeis University B.A. 1966 Columbia Law School/Graduate School of Business J.D./M.B.A. 1970 S.E.C. Enforcement Attorney 1970-1973 N,Y,S.E, Chief Counsel and Manager, Market Surveillance Division, 1973-1975 N.Y.S.E. Specialist Market-Maker 1975-1985 Securities Attorney, Law Office of James L.Rothenberg 1985-Present, Corporate Counsel, M.S. Farrell & Co., Inc. 1992-1995 Arbitration Counsel, Duke & Co. Inc.1995-1996 Counsel, Bear Wagner Specialists 1996-2003 Senior Trading Consultant/Analyst, IPO Executive Committee 2004-2005 Case Consultant/Expert Witness, Securities Litigation and Arbitration, Criminal Defense and Employment, 1990-Present Consultant and Lecturer, Securities Market Structure, Exchange Specialists and NASD Market-Makers