Richard Rogoff

Richard Rogoff

Richard A. Rogoff is a Bates consultant and expert with broad trial and regulatory experience in the broker-dealer and investment practice areas. Throughout his career he has represented financial institutions and individuals in securities enforcement and regulatory matters, securities litigation and arbitration, and internal corporate investigations. Mr. Rogoff has expertise in disputes involving broker-dealers and investors on a variety of topics including sales practice, suitability, supervision, compliance, and employment disputes concerning registered representatives (e.g. wrongful termination, defamation, and whistleblower claims).

Before joining Bates Group, Mr. Rogoff managed in-house litigation and regulatory defense matters for more than 30 years for the retail brokerage businesses at JPMorgan Chase and Morgan Stanley. He began his career in private practice, primarily litigating securities class actions, and is admitted to the bar in Illinois and California.


Richard Rogoff

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • Annuities
      • Branch Management
      • Broker Dealer (B-D)
      • Broker Obligations
      • Equities
      • Elder Issues
      • Employment
      • Fiduciary Duties/Responsibilities
      • Fiduciary Investments
      • Fraud
      • Industry Standards
      • Legal
      • Margin
      • Mutual Funds
      • Private Securities Transactions
      • Retirement Plans and IRAs
      • Selling Away
      • Senior Investors
      • Sales Supervision
      • Sales Practice
      • Suitability
      • Supervision
      • Wealth Management
      • Wrongful Termination
      • Regulatory & Internal Investigations
      • Data, Analyses & Analytics
      • Financial Crimes
      • Compliance Solutions
  • Regulatory & Internal Investigations
    • U.S. & Global Regulatory Investigations
    • Internal Investigations
  • Data, Analyses & Analytics
    • Early case Assessment
  • Financial Crimes
    • Internal Investigations
    • Fraud & Risk Management
  • Compliance Solutions
    • Broker-Dealers
    • Bank Secrecy Act



JPMorgan Chase & Co., Chicago, IL, Executive Director, Assistant General Counsel, 2004 – present  

Bank One Corporation, Chicago, IL, Senior Vice President, Senior Associate General Counsel, 2002 – 2004

Morgan Stanley, San Francisco, CA, First Vice President, Assistant General Counsel, 1988 – 2001

D.B. Gold, PC, San Francisco, CA, Senior Associate Attorney, 1982 – 1988

Richard A. Rogoff, PC, San Francisco, CA, 1981 – 1982

Andrews Davis Legg Bixler Milsten & Murrah, Inc., Oklahoma City, OK, Associate Attorney 1977 – 1979


Southern Methodist University School of Law, Dallas, TX, Juris Doctor

University of Kansas, Lawrence, KS, Bachelor of Arts, English and History, Phi Beta Kappa