Mark Roth Email & Phone Number

Cave Creek, Az, Us

Founded and led ECC Management, dedicated to designing, developing, and constructing urban cottage home neighborhoods for adults with intellectual, developmental, and acquired disabilities.Key Achievements:• Pioneered the concept of unique urban cottage home neighborhoods for adults with disabilities.• Led the entire process, from raising essential financing to hiring key professionals including architects, engineers, contractors, brokers and lawyers.• Secured financing and guaranteed debt for project funding.• Orchestrated the sales process for homes designed for ownership, fostering long-term stability and community support.

Reported directly to the CEO, overseeing and executing all legal services, including structuring, licensing, registration, compliance oversight, and litigation for an SEC-registered investment adviser.Key Achievements:• Helped grow the company from inception to over $1B in assets under management.

• Securities law practice focusing primarily on transactions, regulation, compliance and litigation among securities brokers, dealers, investment advisers, issuers and their officers, directors, shareholders, customers and regulators.• Advise entrepreneurs on formation, capitalization, licensing, operations, regulation and windup of securities sales, investment and advisory businesses including hedge funds, broker-dealers and investment advisers.• Formation, mergers, acquisitions, restructurings and wind-up of corporations, partnerships and limited liability companies, including charter documents, bylaws, operating agreements, buy-sell, shareholder, and stock and asset purchase and sale agreements.

• Advise and assist directors and chief executives regarding structure, financing, regulation, financial and regulatory compliance and operations issues of publicly-traded parent, its subsidiaries and acquisition targets.• Perform and direct all internal, and coordinate and supervise external legal services relating to the operations, licensing, regulation, employment, investigations and disputes of three broker-dealers, an SEC-registered investment adviser, a fixed insurance subsidiary, and their personnel.• Supervise and direct all regulatory compliance, supervisory and registrations personnel.• Coordinate staffing, budgeting, restructuring, and operations of and among all subsidiaries.• Appoint, monitor, direct and supervise all outside counsel and insurers.• Mediate and resolve regulatory, operational and production issues between business lines and among subsidiaries.• Conduct or direct research regarding registration, exemptions and rules governing the conduct of business in multiple state and foreign jurisdictions. • Supervise the maintenance of corporate minutes, licensing and registration documentation for all entities.

Bachelor Of Science - Bs, Biological Sciences

Juris Doctorate