Representative Trial Experience

Recently selected as one of the Top 100 attorneys regardless of practice area in Ohio by Law & Politics magazine, Roger has represented businesses and their directors, officers and executives in commercial cases of all kinds. He is particularly well known for his work in securities litigation and has been recognized as the 2016 “Lawyer of the Year” in securities litigation for Columbus by The Best Lawyers in America.

Some of his most notable case captions are outlined below.

Matter: Robert Ross, et al. v. Abercrombie & Fitch Company, et al., Case No. 2:05-cv-00819 (S.D. Ohio, Sargus, J.)
Representation: Represent CEO of Abercrombie, a publicly traded company, in defense of shareholder class action claims against the Company, its executive officers and others, arising under the 1934 Securities Exchange Act
Status: Settled and dismissed

Matter: The Booth Family Trust v. Michael S. Jeffries, et al., Case No. 2:05-cv-00860 (S.D. Ohio, Sargus, J.)
Representation: Represent CEO of Abercrombie in shareholder derivative litigation against breach of fiduciary duty claims
Status: Settled and dismissed

Matter: Kathleen Bentley v. Michael S. Jeffries, et al., Case No. 05-cv-01153 (Franklin County Court of Common Pleas, Lynch, J.)
Representation: Represent CEO of Abercrombie in shareholder derivative litigation arising under Delaware state law
Status: Settled and dismissed

Matter: In re Cardinal Health, Inc. Sec. Litig., Case No. CZ-04-0575 (S.D. Ohio, Marbley, J.)
Representation: Represent CFO of Cardinal Health, Inc., a Fortune 100 company, in shareholder securities class action based upon claims arising under the Federal Securities laws
Status: Settled and dismissed

Matter: Staehr v. Walter, et al., Case No. 07-CVG-07-0852, (Delaware County Court of Common Pleas)
Representation: Represent CFO of Cardinal Health, Inc. in shareholder derivative litigation arising under Delaware state law
Status: Settled and dismissed

Matter: SEC v. Maxwell, Case No. C2-03-064 (S.D. Ohio, Marbley, J.)
Representation: Defend individual defendant in an action brought by the SEC alleging insider trading and violations of Section 10b and Rule 10b-5 of the Securities Exchange Act
Status: Defense Motion for Summary Judgment granted

Matter: Pharos Capital Corporation v. Deloitte & Touche, LLP, et al., Case No. 03-CV-362 (S.D. Ohio E.D., Marbley, J.)
Representation: Represented Investment Bank in multidistrict litigation (MDL) proceedings against institutional investor claims of breach of fiduciary duty and fraud in the sale of securities arising under state and federal securities laws relating to $15 mm Preferred Stock Offering. Consolidated by MDL Panel in the Southern District of Ohio
Status: Settled and dismissed

Matter: Securities and Exchange Commission v. Bancinsurance Corporation, Case No. 09-2155 (D.C. District Court)
Representation: Represent CEO of public company in SEC action relating to internal financial control and financial reporting issues
Status: Resolved without Trial

Matter: In re: Bancinsurance Corporation
Representation: Represent Chairman and CEO of publicly traded company during investigation conducted by the Company’s Audit Committee relating to financial reporting and internal controls
Status: Closed without any action taken

Matter: The Trading of the Securities in XYZ Corporation
Representation: Represent private company President and CEO in SEC investigation relating to insider trading
Status: Pending

Matter: In re: Future Healthcare Securities Litigation, Case No. C-1-95-180 (S.D. Ohio, Weber, J.)
Representation: Successfully defended individual shareholder in a shareholder securities class action against Company officer, directors and “insiders” alleging violations of the 1933 Securities Act, including claims that client was a “controlling person” under federal securities laws
Status: Summary Judgment; case dismissed as to our client

Matter: SEC v. Von Christopher Cummings, et al., Case No. C2-02-629 (S.D. Ohio, Graham, J.)
Representation: Defend individual in SEC enforcement action alleging violations of antifraud provisions of 1934 Securities Exchange Act
Status: Settled and dismissed

Matter: Medallion Capital Inc. v. Mark Fixler, et al., Case No. C2-99-1390 (S.D. Ohio, Holschuh, J.)
Representation: Defend director/officer against securities fraud claims arising under the 1934 Securities Exchange Act
Status: Resolved prior to trial

Matter: SEC v. P. Joseph Vertucci, et al., Case No. 5:99CV0426 (N.D. Ohio, Polster, Jr.)
Representation: Represent individual charged with securities fraud under 1934 Securities Exchange Act
Status: Resolved prior to trial

Matter: Rothstein v. Borror, et al., Case No. C2-95-746 (S.D. Ohio, Sargus, J.)
Representation: Represent outside directors of a publicly traded company in a securities class action alleging fraud in connection with the Company’s IPO
Status: Resolved prior to trial

Matter: In re Gibson Greetings Securities Litigation, Case No. C-1-94-445 (S.D. Ohio, Weber, J.)
Representation: Represent CFO and corporate Treasurer of public company in connection with shareholder fraud claims relating to company’s purchase and sale of derivatives
Status: Resolved prior to trial

Matter: Helen M. Sarsgard v. Michael D. Costanzo, et al., Case No. 10CV-07-11135 (Franklin County Court of Common Pleas, Frye, J.)
Representation: Represent Chairman & CEO of issuer against claims arising under the Ohio Securities Act
Status: Pending

Matter: Steven Douglas v. Poe & Costanzo, Case No. CVH 20101147 (Hardin County Court of Common Pleas)
Representation: Represent Chairman & CEO of issuer against claims for breach of fiduciary duty and damages arising under the Ohio Securities Act
Status: Settled and dismissed

Matter: Gregory A. Haidet v. Cornerstone International, Inc., et al., Case No. 05-CVH-12-014185 (Franklin County Court of Common Pleas, Sheward, J.)
Representation: Represent corporate defendants against claims arising under the Ohio Securities Act
Status: Settled and dismissed

Matter: Telephone Service Company, et al. v. Sprint, et al., Case No. 3:04-CV-07405 (N.D. Ohio W.D., Carr, J.)
Representation: Represent directors and officers of Horizon PCS, a publicly traded entity, in securities fraud action arising under the Federal Securities Laws
Status: Settled and dismissed

Matter: Robert E. Kirkbride v. Jerry E. Coone, et al., Case No. 88 OT 158 (Washington County Court of Common Pleas, Hallock, J.)
Representation: Defend partners of real estate limited partnership against claims of aiding and participating in the sale of an unregistered security under R.C. Chapter 1707, the Ohio Securities Act
Status: Jury trial; no liability

Matter: Reese v. New England Life Insurance Company, Case No. C2-88-0588 (S.D. Ohio, Smith, J.)
Representation: Represent director/officer in consolidated securities fraud actions against claims arising under the 1933 and 1934 Federal Securities Acts
Status: Resolved prior to trial

Matter: Gergeley v. VanVoorhis, et al., 1989, (Erie County Common Pleas)
Representation: Represent underwriter in shareholder class action alleging fraud and breach of fiduciary duty
Status: Resolved prior to trial following appeal to Ohio Supreme Court on class certification issues

Matter: Akzo Nobel Coatings, Inc. v. Margaret Mercer Emblen, Case No. 2-02-cv-997 (S.D. Ohio, Sargus, J.)
Representation: Defend CERCLA claims for “costs of response” incurred in cleanup of hazardous waste site
Status: Defense verdict following trial to the Court