Overview

Securities Law

• Litigation, Arbitration & Disciplinary Actions
• Daily Operations & Compliance
• Investment Advisors
• Membership Proceedings & Audits
• Employment Issues & Disputes

This office will provide representation to a variety of industry participants and investors, including, but not limited to:

• Brokerage and Investment Banking Firms
• Brokers
• Investment Advisors
• Public Investors
• Institutional and Foreign Investors
• Traders
• Specialists
• Day Traders
• Day Trading Firms
• On-line Trading Firms
• Municipal Bond Firms
• Commodities Firms
• Banks

This office will provide representation as a plaintiff or defendant in a multiplicity of matters ranging from routine "suitability" cases to complex disputes involving intricacies in federal securities laws and sophisticated commodities futures trading, including, but not limited to, claims involving:

• Fraud
• Market Manipulation
• Failure to Supervise
• Unsuitability
• Churning
• Unauthorized Trading
• Breach of Contract
• Failures to Execute
• Misrepresentations and Omissions under Federal Securities Laws
• Sales Practice Violations
• Forgery
• Conversion and Theft
• Trade Secrets
• Defective Product(s)
• Limited Partnership Issues
• Front Running
• Insider Trading
• Margin Violations
• Short Selling
• Registration Problems
• SIPC and Bankruptcy Filings

Having experience in many forums, counsel will appear on you behalf at the following forums to insure the most advantageous and appropriate jurisdiction to hear your problem is utilized:

• United States Securities and Exchange Commission ("SEC")
• United States Commodities Futures Trading Commission ("CFTC")
• National Association of Securities Dealers, Inc. ("NASD")
• New York Stock Exchange ("NYSE")
• American Stock Exchange ("AMEX")
• National Futures Association ("NFA")
• Municipal Securities Rulemaking Board ("MSRB")
• Certified Financial Planners Board of Standards ("CFP Board")
• Various State Attorney General Offices
• On-the-Record Interviews
• Arbitration Forums
• Mediation Forums
• Federal Court
• State Court
• Daily Operations & Compliance

Counsel will represent brokerage firms, traders, specialists and registered persons regarding:

• Day-to-Day Compliance
• Transactional Issues
• Operational Issues
• Supervisory Issues
• Employment Issues
• Legal & Regulatory Developments
• Compliance Manuals
• Reporting Requirements, including, but not limited to, Trade Reporting Rules, Forms U-4, U-5, RE-3 and Disclosure Reporting Pages

Membership Proceedings & Audits

Counsel will assist clients throughout various administrative proceedings and regulatory filings, including:

• Self-Regulatory Organization Membership Applications
• Membership Renewals
• Membership & Registration Continuation Proceedings
• Restriction Agreement Amendments
• Regulatory Investigations, Exams & Audits.

Employment Issues & Disputes

This office will counsel clients in various securities industry employment issues to avoid litigation or to institute actions on behalf of former employees, including but not limited to representation in:

• Reporting Requirements for Forms U-4, U-5, RE-3 & DRPs
• Defamation
• Wrongful Termination
• Constructive Discharge
• Discrimination and/or Harassment, (including gender, race or religion)
• Promissory Note Defense, ("sign-on bonuses" and others)
• Compensation, Bonus and Commission Claims
• Employment Contract Negotiation
• Severance Package Termination Agreements
• Drafting & Negotiation of Employment
• Agreements & Policies

Technology & Small Business

• Start-Up
• Choosing & Creating an Entity
• Trademark & Copyright
• Transactions, Litigation & Licensing
• Non-Compete Agreements & Litigation
• Contract Negotiation & Drafting
• Financing - Joint Venture Agreements
• Private Placements
• Financing Agreements
• Promissory Notes and Loans
• Letters of Credit
• Factoring Agreements
• Regulatory & Government Issues
• Licensing
• Registration
• Commercial Litigation

Employment Issues & Disputes

This office will counsel clients in various employment issues to avoid litigation or to institute actions on behalf of former employees, including but not limited to representation in:

• Discrimination &/or Harassment
  (gender, race or religion based)
  
• Promissory Note Defense, ("sign-on bonuses" and others)
  
• Compensation, Bonus & Commissions
  
• Employment Negotiation & Contracts
  
• Non-Competition Agreements
  
• Severance Package Termination Agreements
  
• Drafting & Negotiation of Employment Policies

Real Estate Investments

This office will assist clients in all areas of the real estate market. Real estate is, after all, most Americans' first investment. Assisting the purchases and sales of apartments and homes, as well as leasing issues, this office is ready to help you and protect your interests.

This office will provide counsel to:

• Commercial Purchasers and Sellers
• Private Purchasers and Sellers

Counsel will handle purchase and sales issues and mortgage refinance.