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Practice Areas

Securities, Business and Insurance Litigation, Professional Malpractice, Business Torts, Bad Faith, Mergers and
Acquisitions, Directors and Officers, International Law, Arbitration, Litigation and Appellate Practice, Broker-Dealer
Defense, Entertainment Law, FINRA, SEC Enforcement, including  Blockchain: Defense of SEC Investigations and Proceedings, Corporations Law and Securities Offerings

 Civil Litigation




SEC Defense, Including Blockchain: Defense of SEC Investigations and Proceedings


Business Litigation


Real Estate Law


International Securities Regulation


Legal Malpractice and Liability

of Law Firms


FINRA Disciplinary Proceedings


Securities Offerings

 Federal and California State Appellate


Investment Company and

Investment Advisor Matters


 Corporate Law


Broker-Dealer and Registered Representative Regulation


State and Federal

Securities Law


 Entertainment Law


Robert C. Rosen is also available as a Securities Expert Witness,

specializing in the following:


   ● Securities Law and Business Law   ● SEC Enforcement Defense  

International Business and Securities Regulation    ● Class &  Derivative Actions 

Insider Trading    ● FINRA Disciplinary Proceedings   

Broker-Dealer, Investment Company and Investment Adviser Matters   

● Liability under Federal and State Securities Laws    ● Public and Private Offerings ● 

Internet Securities    ● Securities Arbitration    ● Law Firm Liability

9101 La Tuna Canyon Road, Sun Valley, California 91352 • T: (213) 362-1000 • F: (213) 362-1001 •

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