Lisa Roth is the president of Monahan & Roth, LLC, a professional consulting firm offering compliance guidance, expert witness and related services on financial and investment services topics including securities and financial services industry compliance, investment product due diligence, investor suitability, management and supervision, information security and related topics.
Ms. Roth holds FINRA Series 7, 24, 53, 4, 65, 99 Licenses, and has served in various executive capacities with Tessera Capital Partners, LLC, Keystone Capital Corporation, Royal Alliance Associates, First Affiliated (now First Allied) Securities, and other brokerage and advisory firms.
In 2003, Ms. Roth founded ComplianceMAX Financial Corp. a regulatory compliance company offering technology and consulting services to more than 1000 broker-dealers and investment advisers. Ms. Roth’s leadership at ComplianceMAX led to the development of revolutionary audit and compliance workflow technologies now in use by some of the United States’ largest (and smallest) broker-dealers, investment advisors and other financial services companies.
Ms. Roth has been engaged as an expert witness on more than 180 occasions, including FINRA, JAMS and AAA arbitrations, Superior Court and other litigations, providing research, analysis, expert reports, damages calculations and/or testimony at deposition, hearing and trial.
Ms. Roth is a member of FINRA’s National Arbitration and Mediation Committee, and FINRA’s Series 14 Item Writing Committee. Ms. Roth was unanimously selected by her peers to serve as the Chairman of FINRA’s Small Firm Advisory Board for one of a total of four years of service on the Board from 2008-2012. She has also served a 2-year terms on the PCAOB Standing Advisory Group. Ms. Roth is an active participant in industry forums, including speaking engagements and trade associations.
Ms. Roth resides in CA, but is a native of Pennsylvania, where she attained a Bachelors of Arts Degree and was awarded the History Prize from Moravian College in Bethlehem, PA. Outside the workplace, Ms. Roth competes in endurance cycling and rowing events.