FacultyFaculty/Author Profile

Debra A. Roth

Morgan Stanley
Executive Director
New York, NY, USA


Debra A. Roth is an Executive Director and Head of the Compliance Regulatory Group at Morgan Stanley, where she is responsible for coordinating and managing the Firm's relationships with the SEC, CFTC, self-regulatory organizations, exchanges and state regulators on behalf of both the institutional and retail broker dealers.  In this role, she supervises the Firm's responses to regulatory examinations, inquiries, sweeps, surveys and informal information requests directed to the Firm's North American broker-dealers.  Prior to joining the Compliance Department, Debra was the East Coast Head of Client Litigation for Morgan Stanley, where she oversaw a team of attorneys handling arbitrations, mediations, litigation and related regulatory matters.  She was previously a partner in a New York City law firm where her practice focused on civil litigation and arbitration matters.  She received her J.D. from Brooklyn Law School and her B.A. from Purchase College, SUNY. 
Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.