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Staff Bios
Managing Members:
George Roth
groth@sccllc.net
George Roth’s primary area of business consulting practice for over
40 years has been structuring small business enterprises to access
growth capital while remaining compliant with regulators and
securities laws. Mr. Roth co-founded Securities Compliance Control
LLC (SCC) in 1999 in response to the imposition of tougher
regulations adopted by the NASD aimed at small businesses. With
the advent of the Sarbanes Oxley Act, the role of SCC has become
critical in recommending cost effective and affordable compliant
structuring and policy formulation for its small and medium business
clients. In doing so, George Roth draws on his extensive experience
and international contacts in business development for hundreds of
clients in both private and public sectors. In his long professional
career, he has been sought out to work hand in hand with leading
securities counsel and CPA’s, with their referring clients to him for
assistance.
After leaving aerospace in 1969, Mr. Roth advised such Los
Angeles law firms as Ball, Hart, Hunt and Brown, and O’Melveny &
Meyers as to corporate structuring strategies, forming several
publicly traded corporations. He was sponsored by these firms to
attend and receive credit for the California Bar associations CEB
courses in Securities Law and Taxation. Moving to Las Vegas in
1970, he continued his work with local CPA’s and law firms such as
Jones Bilbray Bonner and Brown, as well as expanding his
business offices from time to time into New York, Florida, Texas,
Utah, Denver, and Los Angeles. Over the years, Mr. Roth has
established a large number of publicly traded entities that have
since been acquired or transformed into companies that continue to
trade today. Additionally, his past contacts with funding sources
produced results for a number of companies including Bergamo
Acquisitions. (BGMO). He has a long standing relationship with and
is well known and respected among a number of national brokerage
firms.
Prior to the securities business, Mr. Roth graduated from the
prestigious Carnegie Mellon University with graduate degrees in
Management and Science in 1959. He entered the southern
California Aerospace industry employed as Senior Program
Manager for Division Vice Presidents of Ford Motor Company,
Northrop Space Labs, and McDonnell Douglas Special Programs,
where he held high level security clearances and accomplished the
recovery of $61 million in project costs from the Air Force.
Mike Roth
mroth@sccllc.net
Prior to founding Securities Compliance Control with his partners, in
May of 2000, Mr. Roth’s most recent positions held include
President and CEO of e-Net Financial Corporation and e-Net
Mortgage Corporation, a subsidiary, from March 1999 to May 2000,
Regional Branch Manager from April, 1998 to December, 1998 with
Standard Financial Services in Irvine-Mission Hills, Ca.; Vice
President, Lender Services August, 1997 to February, 1998 with
Integrated Resources, Inc., Westlake Village, Ca.; Senior Loan
Officer from July, 1995 to July 1997 with Glendale Federal Bank in
Newport Beach, Ca.; and Mortgage Broker from October, 1989 to
July, 1995 with Home Loan Funding, Inc in Irvine, Ca.
Mr. Roth spent more than 15 years working in real estate lending
and consumer finance management, underwriting, customer
service, collections and sales in FNMA and Freddie Mac Loans.
Before becoming president of e-Net Mortgage Corporation, he took
over the direction of Hospitality Group Inc., predecessor of e-Net,
where as a consultant he researched and developed a viable
concept of Family Financial Health Centers.
Pat Roth
patr2001@yahoo.com
Patricia A. Roth co-founded Securities Compliance Control, LLC in
1999 with her husband George Roth. In addition to her duties as a
Managing Member of the Company, she drew upon her experience
as both a paralegal and equities investor to lead her in 2000 to first
purchase a Broker Dealer in Boston, and then make a substantial
investment to become a principal partner in another Broker Dealer
in California. Drawing upon her NASD brokerage compliance
experience, Ms. Roth has been active in preparing 15c211
disclosure statements for companies applying to the NASD to go
public, and handling the due diligence for these companies during
the 211 approval process.
As a resident of Nevada, since 1992 Ms. Roth has been assisting
new business owners to incorporate their firms in the State of
Nevada, which lead to her forming in 1996 Affordable Business
Services, Inc. a Nevada Corporation to serve as a Resident Agent
for incorporators there. She has been serving as a liaison between
the Nevada Secretary of State and new businesses ever since,
keeping corporations and officers current in their requirements
under the Nevada statutes. She has also assisted new
corporations to establish themselves In Nevada by locating office
space, getting business licenses and aiding in opening bank
accounts.
Prior to her entry into the corporation and securities industry, Ms.
Roth acquired over 18 years of experience in the Medical and
Health Insurance field. Her positions in that industry range from
Claims Adjuster and middle management to a licensed Agent
selling Self Insured plans, and ultimately rising to the position of
Executive Assistant to the President of a large California Insurance
Brokerage firm and Preferred Provider Organization (PPO).
Additionally, in 1992 Ms. Roth devoted full time to attending and
graduating at the top of her college level Paralegal class, setting
up her own independent paralegal business as Paralegal
Professionals, LLC. She has actively provided legal assistance to
clients and attorneys continuously since then, specializing in
contracts, wills and trusts as well as assisting attorneys in court
actions and appearances.
Associate Members:
Tammy Dunn
Email: tdunn313@aol.com
Ms. Dunn has over 18 years of executive experience serving in both
public and private companies, executive management, acquisitions
and mergers, business development, budgeting and administration,
and working with Business Development Corporations or
companies wishing to convert to a Business Development
Corporation as regulated by the SEC and the Investment Act of
1940.
Most recently Ms. Dunn served as Chief Executive Officer of CLX
Investment Company, Inc. (OTC BB: CLXN) a business
development corporation. Ms. Dunn served the Board of Directors
to acquire the investment capital needed and provided all executive
management necessary for the portfolio investment companies to
successfully fulfill their business plans and objectives. Additionally
while at CLX, Ms. Dunn was responsible for all SEC compliance
issues such as filings of all monthly/quarterly/annual financial
reporting, and maintaining full compliance with all new regulatory
issues such as the Sarbanes-Oxley Act of 2002.
From 2003 to 2005, Ms. Dunn served as Vice President of
Operations at Computer Discount Center, a California based E-
commerce corporation. She previously worked as National
Marketing Director for Mod Works, Inc., a Florida based aviation
corporation specializing in the Mooney aircraft, and as President of
iNetPartners, Inc., a California based Business Development
Corporation subsidiary, which operated an Internet automotive
portal and web development center. Prior to her experience at
iNetPartners, Ms. Dunn served as President of Brand Asset
Management Corporation, a California based Business
Development Corporation subsidiary specializing in licensing and
franchising.
SCC Consultants:
William "Bill" Kraus
bill_kraus@hotmail.com
As a consultant to SCC, Mr. Kraus brings over 25 years of strong
and diverse experience in the Securities Industry. He is
recognized as a dedicated, goal-oriented, resourceful and
conscientious professional with outstanding problem-solving
skills. At SCC he will spearhead its shareholder relations
compliance program to provide SCC’s clients greater access to
capital while staying compliant with securities regulations.
William Kraus continues to serve as President and CEO of
WallStreet Investors Alliance and performs contact business
development work for the LawFund Management Group.
As President & CEO of Wallstreet Investors Alliance, Mr. Kraus is
responsible for day-to-day operations and development of
products & services. He also facilitated the securing of non-profit
501(c) 3 status, California Public Benefit Corporation for WIA. He
is the innovator of investor education programs including the
“Investor Loss Survey” and the “24/7 Hot Line”. He is also the
innovator of a Broker Education Program called “Pathway to
Ethical Sales.”
When Vice President/Assistant to the President of an NASD-
broker-dealer, he was responsible for day-to-day operations,
managed the firm’s underwriting (504, 501, 506, and IPO),
supervised 75 brokers, reorganized eight retail satellite offices,
established international infrastructure, assisted the president with
all legal/regulatory issues including NASD/SEC audits, client
complaints, dispute resolutions, client negotiations, case
settlements, drafting releases and Arbitration/Mediation and
discovery.
Licensed in Series 7 (General Securities); Series 24 (General
Securities Principal); and Series 63 (All States/Blue Sky) Mr.
Kraus was a stockbroker for years, specializing in private
placement investments.
George Roth
groth@sccllc.net
George Roth’s primary area of business consulting practice for over
40 years has been structuring small business enterprises to access
growth capital while remaining compliant with regulators and
securities laws. Mr. Roth co-founded Securities Compliance Control
LLC (SCC) in 1999 in response to the imposition of tougher
regulations adopted by the NASD aimed at small businesses. With
the advent of the Sarbanes Oxley Act, the role of SCC has become
critical in recommending cost effective and affordable compliant
structuring and policy formulation for its small and medium business
clients. In doing so, George Roth draws on his extensive experience
and international contacts in business development for hundreds of
clients in both private and public sectors. In his long professional
career, he has been sought out to work hand in hand with leading
securities counsel and CPA’s, with their referring clients to him for
assistance.
After leaving aerospace in 1969, Mr. Roth advised such Los
Angeles law firms as Ball, Hart, Hunt and Brown, and O’Melveny &
Meyers as to corporate structuring strategies, forming several
publicly traded corporations. He was sponsored by these firms to
attend and receive credit for the California Bar associations CEB
courses in Securities Law and Taxation. Moving to Las Vegas in
1970, he continued his work with local CPA’s and law firms such as
Jones Bilbray Bonner and Brown, as well as expanding his
business offices from time to time into New York, Florida, Texas,
Utah, Denver, and Los Angeles. Over the years, Mr. Roth has
established a large number of publicly traded entities that have
since been acquired or transformed into companies that continue to
trade today. Additionally, his past contacts with funding sources
produced results for a number of companies including Bergamo
Acquisitions. (BGMO). He has a long standing relationship with and
is well known and respected among a number of national brokerage
firms.
Prior to the securities business, Mr. Roth graduated from the
prestigious Carnegie Mellon University with graduate degrees in
Management and Science in 1959. He entered the southern
California Aerospace industry employed as Senior Program
Manager for Division Vice Presidents of Ford Motor Company,
Northrop Space Labs, and McDonnell Douglas Special Programs,
where he held high level security clearances and accomplished the
recovery of $61 million in project costs from the Air Force.
Mike Roth
mroth@sccllc.net
Prior to founding Securities Compliance Control with his partners, in
May of 2000, Mr. Roth’s most recent positions held include
President and CEO of e-Net Financial Corporation and e-Net
Mortgage Corporation, a subsidiary, from March 1999 to May 2000,
Regional Branch Manager from April, 1998 to December, 1998 with
Standard Financial Services in Irvine-Mission Hills, Ca.; Vice
President, Lender Services August, 1997 to February, 1998 with
Integrated Resources, Inc., Westlake Village, Ca.; Senior Loan
Officer from July, 1995 to July 1997 with Glendale Federal Bank in
Newport Beach, Ca.; and Mortgage Broker from October, 1989 to
July, 1995 with Home Loan Funding, Inc in Irvine, Ca.
Mr. Roth spent more than 15 years working in real estate lending
and consumer finance management, underwriting, customer
service, collections and sales in FNMA and Freddie Mac Loans.
Before becoming president of e-Net Mortgage Corporation, he took
over the direction of Hospitality Group Inc., predecessor of e-Net,
where as a consultant he researched and developed a viable
concept of Family Financial Health Centers.
Pat Roth
patr2001@yahoo.com
Patricia A. Roth co-founded Securities Compliance Control, LLC in
1999 with her husband George Roth. In addition to her duties as a
Managing Member of the Company, she drew upon her experience
as both a paralegal and equities investor to lead her in 2000 to first
purchase a Broker Dealer in Boston, and then make a substantial
investment to become a principal partner in another Broker Dealer
in California. Drawing upon her NASD brokerage compliance
experience, Ms. Roth has been active in preparing 15c211
disclosure statements for companies applying to the NASD to go
public, and handling the due diligence for these companies during
the 211 approval process.
As a resident of Nevada, since 1992 Ms. Roth has been assisting
new business owners to incorporate their firms in the State of
Nevada, which lead to her forming in 1996 Affordable Business
Services, Inc. a Nevada Corporation to serve as a Resident Agent
for incorporators there. She has been serving as a liaison between
the Nevada Secretary of State and new businesses ever since,
keeping corporations and officers current in their requirements
under the Nevada statutes. She has also assisted new
corporations to establish themselves In Nevada by locating office
space, getting business licenses and aiding in opening bank
accounts.
Prior to her entry into the corporation and securities industry, Ms.
Roth acquired over 18 years of experience in the Medical and
Health Insurance field. Her positions in that industry range from
Claims Adjuster and middle management to a licensed Agent
selling Self Insured plans, and ultimately rising to the position of
Executive Assistant to the President of a large California Insurance
Brokerage firm and Preferred Provider Organization (PPO).
Additionally, in 1992 Ms. Roth devoted full time to attending and
graduating at the top of her college level Paralegal class, setting
up her own independent paralegal business as Paralegal
Professionals, LLC. She has actively provided legal assistance to
clients and attorneys continuously since then, specializing in
contracts, wills and trusts as well as assisting attorneys in court
actions and appearances.
Associate Members:
Tammy Dunn
Email: tdunn313@aol.com
Ms. Dunn has over 18 years of executive experience serving in both
public and private companies, executive management, acquisitions
and mergers, business development, budgeting and administration,
and working with Business Development Corporations or
companies wishing to convert to a Business Development
Corporation as regulated by the SEC and the Investment Act of
1940.
Most recently Ms. Dunn served as Chief Executive Officer of CLX
Investment Company, Inc. (OTC BB: CLXN) a business
development corporation. Ms. Dunn served the Board of Directors
to acquire the investment capital needed and provided all executive
management necessary for the portfolio investment companies to
successfully fulfill their business plans and objectives. Additionally
while at CLX, Ms. Dunn was responsible for all SEC compliance
issues such as filings of all monthly/quarterly/annual financial
reporting, and maintaining full compliance with all new regulatory
issues such as the Sarbanes-Oxley Act of 2002.
From 2003 to 2005, Ms. Dunn served as Vice President of
Operations at Computer Discount Center, a California based E-
commerce corporation. She previously worked as National
Marketing Director for Mod Works, Inc., a Florida based aviation
corporation specializing in the Mooney aircraft, and as President of
iNetPartners, Inc., a California based Business Development
Corporation subsidiary, which operated an Internet automotive
portal and web development center. Prior to her experience at
iNetPartners, Ms. Dunn served as President of Brand Asset
Management Corporation, a California based Business
Development Corporation subsidiary specializing in licensing and
franchising.
SCC Consultants:
William "Bill" Kraus
bill_kraus@hotmail.com
As a consultant to SCC, Mr. Kraus brings over 25 years of strong
and diverse experience in the Securities Industry. He is
recognized as a dedicated, goal-oriented, resourceful and
conscientious professional with outstanding problem-solving
skills. At SCC he will spearhead its shareholder relations
compliance program to provide SCC’s clients greater access to
capital while staying compliant with securities regulations.
William Kraus continues to serve as President and CEO of
WallStreet Investors Alliance and performs contact business
development work for the LawFund Management Group.
As President & CEO of Wallstreet Investors Alliance, Mr. Kraus is
responsible for day-to-day operations and development of
products & services. He also facilitated the securing of non-profit
501(c) 3 status, California Public Benefit Corporation for WIA. He
is the innovator of investor education programs including the
“Investor Loss Survey” and the “24/7 Hot Line”. He is also the
innovator of a Broker Education Program called “Pathway to
Ethical Sales.”
When Vice President/Assistant to the President of an NASD-
broker-dealer, he was responsible for day-to-day operations,
managed the firm’s underwriting (504, 501, 506, and IPO),
supervised 75 brokers, reorganized eight retail satellite offices,
established international infrastructure, assisted the president with
all legal/regulatory issues including NASD/SEC audits, client
complaints, dispute resolutions, client negotiations, case
settlements, drafting releases and Arbitration/Mediation and
discovery.
Licensed in Series 7 (General Securities); Series 24 (General
Securities Principal); and Series 63 (All States/Blue Sky) Mr.
Kraus was a stockbroker for years, specializing in private
placement investments.
| Copyright 2007 Securities Compliance Control |
Securities
Compliance Control, LLC
Compliance Control, LLC
