Alan Rosca
Alan Rosca
- 2000 Auburn Drive, Suite 200, Beachwood, OH 44122
Alan Rosca is a seasoned securities lawyer, former adjunct professor of securities regulation, and frequent speaker at legal conferences on topics ranging from Ponzi schemes and investment fraud to cryptocurrencies.
Alan focuses his legal practice on complex financial and commercial matters, particularly in the areas of securities litigation, investment fraud, ERISA, wage-and-hour matters, and international disputes. He often represents institutional and individual investors in disputes with financial industry members, arising out of investment fraud or misconduct. He has extensive experience prosecuting claims on behalf of investors, primarily through class actions and FINRA arbitrations. He also represents employees in compensation-related disputes, and plaintiffs in consumer fraud and antitrust disputes.
Alan received his Juris Doctor degree summa cum laude from the Cleveland-Marshall College of Law in May 2008. While in law school he served as a Managing Editor of the Cleveland State Law Review, received the Dean’s (full) scholarship for the entire Juris Doctor program, was on the Dean’s List, and won the “Best Oralist” award in the Jessup Moot Court competition, Pacific Region. He passed the Ohio Bar exam in top 1%, with the highest grade in the state to the multi-state (federal law) section.
He is licensed to practice law in the Ohio state and District of Columbia courts only, as well as the United States Supreme Court, United States Court of Appeals for the District of Columbia Circuit, United States Court of Appeals for the 4th Circuit, United States Court of Appeals for the 6th Circuit, the Northern and Southern Districts of Ohio federal district courts, and other federal courts. Alan works in the firm’s Cleveland, Ohio metro area office.
He is a member of the Public Investors Advocate Bar Association, the Cleveland Metropolitan Bar Association, the District of Columbia Bar, and the Cleveland Diplomatic Corps.
He holds a Master of Business Administration degree from Baldwin-Wallace College, Ohio, and has worked in the financial industry before law school.
Alan taught securities regulation at Cleveland-Marshall College of Law, his alma mater, for a decade.
In May 2021, Alan was elected to a three-year term as a Barrister to the William K. Thomas American Inn of Court.
Education
Juris Doctor, Cleveland-Marshall College of Law (May 2008)
Master of Business Administration, Baldwin-Wallace College, Ohio
Admissions
Supreme Court of United States
U. S. Court of Appeals for the District of Columbia Circuit
U.S. Court of Appeals for the 4th Circuit
U.S. Court of Appeals for the 6th Circuit
Supreme Court of Ohio
U.S. District Court for the Northern District of Ohio
U.S. District Court for the Southern District of Ohio
U.S. District Court for the District of Nebraska
District of Columbia Court of Appeals
Speaking Engagements
A Primer on NFTs & Related Legal Issues, Blockchain and the Law, Cleveland Metropolitan Bar Association, September 2021
Meme Stocks and Gamestop, PIABA Webinar, May 2021
Ethical Issues related to Attorney Articles on Bad brokers, Products, or Issuers: Handling Takedown Requests, Cease-and-Desist Letters, 2021 PIABA Mid-Year Meeting
U.S. Economic Outlook: For 2020 and Beyond: What’s Next?, 2020 PIABA Mid-Year Meeting
In-Depth Arbitrator Background Investigations and Selection Strategies, PIABA 28th Annual Meeting, 2019
Registered Investment Advisors: Regulatory Structure, Liability Theories, and Recent Developments, 2019 PIABA Mid-Year Meeting
Cryptocurrency, PIABA 27th Annual Meeting, 2018
Secondary Liability for Investment Fraud Schemes, AAJ 2018 Conference
Secondary Liability for Investment Fraud / Ponzi Schemes: Spotting Cases and Identifying Potentially Liable Parties, PIABA 26th Annual Meeting, 2017
Business Torts: Ponzi Scheme Remedies, Mass Torts Made Perfect 2014 Conference
Overcoming Comparative Fault, Ratification and Other Common Brokerage Defenses, PIABA 24th Annual Meeting, 2014
Find it Free and Fast on the Net: Strategies for Legal Research on the Web, National Business Institute Electronic Seminar, December 4, 2013
In The News
Written by Alan Rosca
What Do Crypto and AI Get-Rich-Quick Schemes Have in Common? FOMO and Flimsy Due Diligence, published on August 11, 2023, in Entrepreneur
The Pitfalls of Exotic Alternative Investments: A Summary of Recent Cannabis Related Scams, published on July 14, 2021, in Medium
The New Roaring Twenties? Why You Need to Be Wary of Market Fever, published on June 29, 2021, in Entrepreneur
Retirement Investment Risks Arising out of the COVID-Driven REIT Struggles, published on May 17, 2021, in Medium
Leading Signs You May Be at Risk for an Oil and Gas Ponzi Scheme, published on February 25, 2021, in Global Law Experts
COVID-Triggered Inflation Could Upend Traditional Investing Principles, Hurt Seniors’ Investments, published on January 21, 2021 in HG.org
Affinity Fraud and Ponzi Schemes: Victimizing One’s Own, published on January 18, 2021, in Global Law Experts
Are You About to Be the Victim of a Ponzi Scheme?, published on January 2, 2021, in Entrepreneur
The Flip Side Of The Registered Investment Adviser Explosion: What Investors Need To Know , published on December 11, 2020, in Benzinga
5 Red Flags For Pandemic-Related Investment Scams, published on November 19, 2020, in Law360
FinCEN leaks show need for transparency including in civil litigation, published on October 20, 2020, in Crain’s Cleveland Business
That advice about not looking at your portfolio when the market crashes?, published on October 8, in Medium
New SEC rules or not, investors still need to be vigilant, published on August 26, 2020 in Crain’s Cleveland Business
Investment advisers working from home heightens selling away’ concern, published on July 19, 2020 in Crain’s Cleveland Business
As Seen In
Legal professionals astonished as SBF admits failures, apologizes 12 times in interview
Cointelegraph
December 01, 2022
Fishers man accused of selling $230M in dubious financial products
The Indiana Lawyer
April 26, 2022
More Ex-Morgan Stanley FAs Demand Deferred Comp — in Arbitration
Financial Advisor IQ
March 30, 2022
Gaylen Rust sentenced to 19 years in prison for $200 million Ponzi scheme
Fox13
March 8, 2022
Gaylen Rust, Utahn accused of $200 million Ponzi scheme, pleads guilty
Fox13
December 20, 2021
Tyler Tysdal pleaded guilty in court. But online, things look more upbeat
BusinessDen
July 19, 2021
Alan Rosca, Esq., Celebrated for Dedication to the Field of Law
– Marquis Who’s Who
March 30, 2021
What Does the Nashville Bombing Say About the Future of Downtown CRE?
MillionAcres a Motley Fool Service
December 30, 2020
The “FinCEN Files,” the world’s latest banking corruption scandal, explained
The Millennial Source
Shareholder sues FirstEnergy’s board of directors, alleging a lack of oversight involving payments to Householder
Cleveland.com
August 7, 2020
Charlotte investment adviser swept up in national fraudulent loan scandal
Charlotte Business Journal
March 21, 2019
Investors Who Lost Money Saying Bankers Ignored Warning Signs
The Salt Lake Tribune
January 9, 2019
Investors in alleged Rust Rare Coin $200M Ponzi scheme sue Zions Bank
KSL.com
January 8, 2019
Investors in alleged Rust Rare Coin $200M Ponzi scheme sue Zions Bank
Deseret News
January 8, 2019
Class-action lawsuit says Zions Bank assisted in scheme that stole $200M from victims
kutv.com
January 8, 2019
