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Debra Roth ’76

Debra Roth ’76 has been with Morgan Stanley for more than 25 years in various positions in the Legal and Compliance Division. Since March 2019, she has served in a senior management role in WM Compliance, responsible for the design, implementation, and oversight of the WM Compliance Conduct Risk and Customer Complaint programs. From September 2011 to March 2019, she was Executive Director, Head of the Americas Market/Conduct Regulatory Relations Group, where she oversaw the relationship between the Firm’s two largest U.S. broker-dealers (retail and institutional) and its securities and futures regulators, SROs, exchanges and state regulators. As Executive Director, Head of Core Compliance from May 2010 to September 2011, she was the senior compliance manager responsible for oversight of all functions related to Registration, Employee Trading, Policies & Procedures, and Regulatory Examinations & Inquiries for both retail and institutional broker-dealers. Roth also served as Executive Director, Head of East Coast Litigation from September 2002 to May 2010, where she oversaw all client litigations, arbitrations, and related regulatory matters arising from retail branches in the Eastern U.S. and the nation-wide customer complaint unit.

Debra Roth was an associate and later a partner with NYC law firm Phillips Nizer from 1981 to 1995. She clerked for Judge Henry Bramwell of the Eastern District of New York. She is a graduate of Brooklyn Law School and Purchase College, SUNY. Since her graduation, Roth has been an active alumna and supporter of the college, most recently by coordinating resume and interview writing workshops at Morgan Stanley for students in the Purchase Bridges program.

She is registered with Morgan Stanley as a General Securities Principal and General Securities Representative. She was also recently asked to join FINRA’s National Adjudicatory Council, the committee that considers disciplinary appeals and other matters adjudicated by FINRA, and expects to begin her term in January 2021.


Trustee, Purchase College Foundation


Executive Director, Head of Compliance Regulatory Group, Morgan Stanley

Board Committees

Alumni Engagement and Development Committee, Member
Audit Committee, Member