Joshua B. Rog focuses his practice on complex commercial and bankruptcy litigation, and securities and regulatory enforcement matters. He has been integrally involved on multiple matters as a member of the BakerHostetler team representing Trustee Irving H. Picard for the SIPA liquidation of Bernard L. Madoff Investment Securities LLC.
Joshua also has particular experience representing clients in connection with investigations conducted by the U.S. Department of Justice and the Securities and Exchange Commission. He has written and presented on various securities law and litigation issues, and has been published in the National Law Journal and Wolters Kluwer Securities Regulation Daily.
- Performed an active role in the representation of a client in connection with a Securities and Exchange Commission investigation into an alleged stock “pump and dump” scheme, including responding to the Wells Notice and advising the client throughout the investigation, until a settlement was reached.
- Assisted in advising a public company’s special committee with respect to efforts by an activist hedge fund manager to achieve substantive changes within the company, including analyzing the committee’s duties and responsibilities to shareholders in considering a variety of transactions with the fund manager.
- Guided a service provider to a hedge fund throughout a Department of Justice investigation into the service provider’s role as to potential Foreign Corrupt Practices Act violations by the fund, including responding to grand jury document subpoenas and preparing a principal of the service provider for multiple interviews with the department.
- Advised client in connection with an internal investigation by his employer, a major financial institution, in connection with possible fraudulent conduct, including preparing the client for and participating in multiple meetings with the financial institution.
- Represent client throughout proceeding to expunge reference to a FINRA enforcement action from FINRA’s Central Registration Depository.
- Drafted joint motion to dismiss and motion for summary judgment for client, a major fashion brand, accused of tortious interference with a contract, resulting in dismissal of the action.
- J.D., Yeshiva University Benjamin N. Cardozo School of Law, 2009
- B.S., Cornell University, 2006, cum laude
- U.S. District Court, Southern District of New York, 2013
- New York, 2010
- New Jersey, 2009
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