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.
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
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