The Firm has extensive experience handling a wide variety of business, commercial and securities cases in federal and state courts; arbitrating claims before FINRA, the New York Stock Exchange and the American Arbitration Association as well as other arbitration forums; and, represented individuals and corporations in all manner of administrative and regulatory matters including enforcement proceedings conducted by the SEC, the New York Stock Exchange, NASD Regulation, Inc., state securities agencies and other regulatory authorities.
To learn more, click on the practice areas listed below.
- Private Investment Funds and Unregistered Marketers,
Wall Street Lawyer, February 2015
- The Courts Whittle Away Non-Solicitation Clauses: Broker Dealers Beware, Federal Bar Association Side-Bar, Summer 2014
- First-Party Indemnification for Attorney's Fees,
New York State Bar Association Journal, July/August 2014
- Are you a Finder or an Unregistered Broker?
The Federal Lawyer, December 2013
- The Impact of the Janus Ruling on Secondary Liability in 10-b Claims,
Federal Bar Association Side-Bar, Spring 2012