About Saul Roffe

Mr. Roffe is a graduate of Brooklyn College (B.A. 1979, M.S. 1982) and New York Law School (J.D. 1988). He is admitted to the courts of the State of New York, the United States District Court for the Southern District of New York, the Eastern District of New York, and the District of New Jersey. He has been a partner at the law firm of Sirota & Sirota LLP where he engaged in the practice of securities and business and transactional law and litigation and Stark & Stark P.C. engaging primarily in securities, merger and acquisition, franchising, and business transactions. Mr. Roffe then struck out on his own and opened his own practice. Mr. Roffe has negotiated and completed many transactions and mergers in the tens of millions of dollars, provided counsel for hundreds of public and private securities offerings, and was lead attorney for the firm in many class actions such as In re Initial Public Offering Securities Litigation, In re FirstPlus Securities Litigation, Cohen v. Apache Corporation, In re DeBeers Antitrust Litigation, Seijas v. Republic of Argentina and In re Cedar Hill Cemetery Litigation. Mr. Roffe also represented clients in regulatory enforcement actions such as Securities and Exchange Commission v. Ruggiero and the New York Stock Exchange enforcement action against Eugene Dima, among others. Mr. Roffe successfully appealed and overturned the denial of class action status in a labor law matter, Hearn v. Rite Aid Corporation.

As part of his transactional practice, Mr. Roffe has completed numerous public and private offerings, merger and acquisition transactions, and general business transactions. Mr. Roffe also formed and represented numerous Registered Investment Advisors and Broker-Dealers in dealings with regulators, regulatory investigations, and regulatory enforcement actions.

Mr. Roffe has been published in legal treatises on such matters as the state of the securities laws and the structure and effect of the Dodd-Frank Act.

He is also admitted to the Second Circuit Court of Appeals.