Overview.  Roger’s litigation practice focuses on defending and resolving governmental investigations, and disciplinary or enforcement actions, before the SEC, FINRA, FTC and State of Washington DFI Securities Division. He also prosecutes, defends and resolves non-solicitation and trade secret disputes, particularly those between broker-dealers and registered representatives; securities arbitration actions; and real estate disputes, including those involving commercial leases, purchase and sale contracts, investments, condemnation or adverse possession.

As a former federal law clerk who has decided many cases as an arbitrator, Roger is available for engagement as a neutral or party-appointed arbitrator. In addition, he has received intensive mediator training and is available to help resolve broker-dealer/customer, securities, noncompetition, real estate and other civil disputes and would be pleased to do so.  Click here for a link to Roger's Rule 39.1 mediator biography for the United States District Court for the Western District of Washington.

Tenacity and Creativity. Recognized for effectively representing clients by combining strategic thinking with tenacious execution, Roger is also respected for developing creative approaches to resolving litigation disputes. To both litigation and mediation he brings insights into judicial decision-making provided by two years clerking for a federal trial judge and 25 years in private practice.

Securities and Complex Civil Litigation/Securities Arbitration Claims. Roger regularly handles complex civil litigation and achieves excellent results for his clients. He has significant securities litigation experience in class actions, stock option disputes, shareholder derivative actions, directors’ and officers’ liability issues, insider trading, corporate governance and internal investigations, proxy contests and mortgage-backed securities. He also prosecutes and defends customer claims against broker-dealers and registered representatives. These matters involve claims of unsuitability, churning, breach of fiduciary duty, fraud and misrepresentation, particularly before FINRA Dispute Resolution.

Securities Enforcement Defense. Roger frequently defends broker-dealers, investment advisers, investment bankers and registered representatives in regulatory investigations and disciplinary actions brought by the U.S. Securities and Exchange Commission, FINRA and the State of Washington DFI Securities Division, including presenting Wells submissions and CRD expungement requests.

Broker Employment Litigation.  Roger litigates noncompetition, non-solicitation and trade secrets disputes for broker-dealers and registered representatives. Attesting to his advocacy skills is the remarkable fact that he has never lost a temporary restraining order battle in a securities broker employment dispute – every time he has sought a TRO it has been granted, and every time he has resisted entry of a TRO, it has been denied.

Real Estate Litigation.  Roger's real estate litigation practice is wide-ranging, including both prosecution and defense of claims involving major commercial leases, investments, partnership accounting and dissolution, condemnation/eminent domain, adverse possession, broker commissions, easements, landslides, lending/usury, and title disputes.

Additional Background.  Roger graduated from the Honors College of the University of Oregon. Prior to entering law school, he spent four years managing environmental issues in Oregon government, including responsible positions in the Office of the Governor, with the Senate Environment & Energy Committee, and for the Multnomah County Board of Commissioners. In addition, he was Associate Director of 1000 Friends of Oregon and Acting Northwest Representative of the Sierra Club and Federation of Western Outdoor Clubs.

Roger obtained his first year of legal training at the Yale Law School. He then transferred to the University of Oregon Law School, where he graduated second in his class. The United States Supreme Court cited a law review article on Pacific Northwest energy issues that Roger wrote while in law school. His environmental interests are reflected today in his service as a member of the Leadership Council of Yale University’s world-renowned School of Forestry and Environmental Studies and on the Board of Directors of the Washington Wilderness Coalition. Roger enjoys recreational rock climbing, hiking, recreational ice climbing, chess, watching the Seattle Mariners and Seattle Seahawks, and creating Blu Ray shows.

Professional Experience

• Foster Pepper PLLC: Chair, Securities and Complex Litigation Group, 2001-06;
  Equity Member, 1992-2006; Associate, 1985-91
• State of Washington/Washington State Investment Board – Special Assistant
  Attorney General, 1993-96
• Honorable Owen M. Panner, United States District Judge, Portland, Oregon –     
  Law Clerk, 1982-84 

Honors and Awards

• Martindale Hubbell AV® Preeminent 5.0 out of 5
• Washington Law & Politics' Super Lawyers®, 2003-2010
• Washington CEO Magazine’s “Washington’s Most Amazing Attorney’s,” among 21 civil
  litigators, 2006
• Order of the Coif, 1982
• National Wildlife Federation Environmental Conservation Fellowship, 1981

Community and Professional Activities

• Yale University, School of Forestry and Environmental Studies – Member, Leadership Council, 2001-present
• Washington Wilderness Coalition - Member, Board of Directors, 2009-present
• Outward Bound USA – Member, Seattle Advisory Council and its predecessors, 1989 - present
• The Evergreen State College – Member, Fund Raising Committee, Willi Unsoeld Seminar Fund, 1984-1985
• National Park Service – Member, Pacific Northwest Regional Advisory Committee, 1972-1976
• American Bar Association – Member, Litigation Section; Member, Committee on Securities Litigation
• Washington State Bar Association – CLE Program Co-chair and Panelist, Litigation Section; Member, Securities Committee, Business Section
• Federal Bar Association – Member, Local Rules Committee for the Western District of Washington