Albert J. Rota

Al Rota represents financial institutions and other companies in complex commercial litigation, regulatory and enforcement matters, and internal investigations. He has defended clients in securities fraud class actions, shareholder derivative cases, and SEC enforcement investigations. His recent SEC investigation representations include inquiries pertaining to insider trading; accounting issues, including vendor rebates, revenue recognition, and accounting for contingencies; and related disclosure matters. In addition, Al has successfully handled litigation arising from mergers and acquisitions, including defending clients against hostile takeover attempts.

Al's practice also includes litigating, investigating, and advising clients on issues arising under federal and state consumer protection statutes. Al's recent representations include: defending RBS Citizens, N.A. in putative class actions pending in the multidistrict litigation In Re: Checking Account Overdraft Litigation; representing Experian Information Solutions across the country in individual and class action cases under the Fair Credit Reporting Act; advising clients regarding the impact of potential changes to national bank preemption under the Dodd-Frank Act and related state law compliance issues; and advising a national bank regarding potential unfair and deceptive trade practices claims, including those related to forced placed insurance and other mortgage servicing issues.

Al regularly writes on issues relating to consumer financial products and services, including articles focused on the Consumer Financial Protection Bureau's oversight and enforcement powers.

Good to know

Areas of Practice 1) Litigation, 2) Financial Institutions Litigation & Regulation, 3) Securities Litigation & SEC Enforcement and 4) Consumer Financial Products & Services
Law School Fordham University School of Law
Admitted Year 2002
Education Syracuse University (B.A. in Political Science , 1998)
Bar Member / Association Texas, New York, New Jersey, and U.S. District Courts for the Northern District of Texas and the Eastern, Northern, Southern, and Western Districts of New York
Most recent firm Jones Day
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