• vcard
602.650.2098
  • Education
    • J.D., University of Connecticut School of Law
    • B.S., St. Joseph's University, Pa.
  • Court Admissions
    • U.S. District Court, District of Connecticut
    • U.S. Court of Appeals, Second Circuit
    • U.S. District Court, District of Arizona
    • U.S. Court of Appeals, Ninth Circuit
    • United States Supreme Court
Known for his thorough preparation and persistence, Paul Roshka has a national practice representing companies, their directors, officers, and employees during investigations and enforcement/disciplinary proceedings involving potential violations of the federal and state securities laws, and other financial regulatory statutes and rules. He has handled matters initiated by almost every SEC Regional Office and FINRA District Office, and their Home Offices in Washington, D.C.

He is also a recognized bet-the-company litigator. Paul has defended securities/financial claims in federal and state court, including class action defense. He is a seasoned litigator trusted to resolve our clients’ disputes. Paul and the lawyers he supervises know it is important to keep clients informed, and provide value for the services they render. He handles arbitrations and mediations nationwide. He also serves as a mediator in securities and complex matters involving real estate and other financial claims.

Paul’s passion for resolving complex disputes is equally matched by his passion for positively impacting his community. He has spearheaded numerous significant charitable efforts that have directly and positively impacted the lives of thousands of Arizona children and families. He is a Chairman Emeritus of Phoenix Children’s Hospital, a Past Chairman of the Hospital’s Foundation, Past Chairman of the Children’s Cancer Center and Past Chairman of Phoenix Suns Charities. Paul has served on the Boards of the Salvation Army and Xavier College Preparatory School.  Paul is currently on the Board of Southwest Human Development, an organization that seeks to create a positive future for every child. 
  • Represented the board of directors of a religious-based affinity foundation. The representation involved resolving the regulatory concerns of the SEC, the Arizona Corporation Commission (ACC) and other State securities regulators while working with the foundation’s board to preserve funds invested in this $560 million Ponzi scheme.
  • Represented the former president of a mortgage banker and its affiliated securities arm during a joint SEC and ACC investigation regarding the entity’s sale of over $500 million in investments.
  • Defended the former CFO of a public company during an internal corporate investigation, the SEC investigation and the enforcement action filed against our client alleging accounting irregularities to inflate financial results and overstate net income in violation of the antifraud provision of the Securities Act and the antifraud and books and records provisions of the Exchange Act.
  • Defended the president of an international firm in an investigation and enforcement proceeding brought by the ACC involving allegations concerning unregistered securities and securities fraud arising out of the sale in Arizona of approximately $25 million of universal leases relating to interests in Cancun hotels.
  • Defended an investment adviser in an SEC investigation and proceeding alleging misrepresentation of investment risks and failing to disclose a side compensation agreement involving a $10 million investment pool in violation of the Securities Act, the Exchange Act and the Advisers Act.
  • Represented a former vice president of investor relations for a public company during an SEC investigation involving concerns of insider trading.
  • Represented the former president of a trust company during an investigation conducted by the SEC and the New York Attorney General’s Office involving allegations of late trading of mutual funds.
  • Represented numerous firms and registered representatives in investigations and proceedings brought by FINRA charging violations of its rules concerning suitability, supervisory deficiencies, unauthorized transactions, misrepresentations and conduct inconsistent with just and equitable principles of trade.
  • Obtained dismissal with prejudice in a securities fraud complaint filed in the United States District Court in Arizona against a former CEO brought by 117 plaintiffs who invested more than $20 million.
  • Defended a securities fraud class action and a derivative lawsuit filed in the United States District Court in Arizona that named Chief Financial Officer of public auto-parts company.
  • Defended numerous broker-dealers and registered representatives in a FINRA arbitrations in Arizona, California, Florida, Washington, Minnesota, Utah, Missouri and Texas alleging misrepresentations, unauthorized transactions, unsuitable recommendations and churning.
text icon Publications & Presentations
Co-author, Polsinelli BitBlog
October 11, 2018
text icon Publications & Presentations
Co-Author, Polsinelli BitBlog
October 11, 2018
webinar Webinars
March 22, 2016
text icon Publications & Presentations
CLE Presentations

 

  • Navigating the Credit Crisis: What Every Litigator and Corporate Counsel Needs to Know About Representing Clients in an Uncertain World, Arizona State Bar
  • Best Practices in Securities Arbitrations and Enforcement Priorities at the Securities and Exchange Commission, Arizona State Bar
  • The Mechanics and Pitfalls of Representing Businesses and Individuals Before Administrative Agencies, Arizona State Bar
  • Conducting Internal Investigations: How to Identify and Prevent Corporate Liability, Arizona State Bar
  • Civil RICO, Maricopa County Bar Association
  • Dealing With The Regulators – SEC, NASD and the State, Arizona State Bar
  • Anatomy of a State Enforcement Action, Arizona State Bar
  • Securities Fraud: Protecting the Rights of the Victim, Defending the Rights of the Accused, Maricopa County Bar Association
  • Recent Developments in Securities Litigation, Arbitration and Enforcement, Arizona State Bar
  • Mediation Seminar, joint State Bar and NASD Regulation, Inc.
  • The Bulls, the Bears and the Sidewinders, Arizona State Bar
  • Administrative & Criminal Prosecution of Securities Fraud Cases, Maricopa County Bar Association