Ep. 105: A Securities Lawyer’s view on Risk

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Lance is the Founder and Managing Partner of Verivest, an end-to-end real estate investment platform designed to bring transparency and trust to middle-market investing, and a Principal in Fairway America, a real estate private equity firm in Portland, Oregon.

Alan Rosca, Securities lawyer at the Goldman Scarlato firm, joins Lance to talk about the important role he plays in risk mitigation. His main focus is on victims of ponzi schemes and investment fraud. Lance and Alan dive into the red flags of a ponzi scheme and what happens when an investment product goes wrong.

This Week’s Guest

Alan Rosca is a seasoned securities lawyer, an adjunct professor of securities regulation, and frequently speaks at legal conferences on topics ranging from Ponzi schemes and investment fraud to Bitcoin and cryptocurrencies.

Alan focuses his legal practice on complex financial and commercial matters, particularly in the areas of securities litigation, investment fraud, antitrust, 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 experience prosecuting claims on behalf of investors through class actions and FINRA arbitrations. He also represents plaintiffs in consumer fraud and wage-and-hour 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 courts only, the Northern and Southern Districts of Ohio, and other federal courts. Alan works in the firm’s Cleveland, Ohio office.

He is a member of the Public Investors Arbitration Bar Association, the Cleveland Metropolitan Bar Association, and the Cleveland Diplomatic Corps.

He holds a Master of Business Administration degree from Baldwin-Wallace College, Ohio.

Alan teaches securities regulation at Cleveland-Marshall College of Law, his alma mater, and has done so for nearly 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.

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Episode 105