My practice focuses on the representation of investors and advisors throughout the United States in relation to the financial services industry.
I represent individual and institutional investors in arbitrations and litigations involving claims of breach of fiduciary duty, breach of contract, mismanagement, fraud, suitability, unauthorized trading and churning.
I also represent traders, brokers, senior managers and officers regarding employment disputes such as discrimination, unpaid bonuses, severance packages, and forfeiture-for competition clauses for unvested stock.
I have extensive experience representing both employers and employees regarding recruiting practices including advising brokers of best practices to avoid litigation before they resign, negotiating on behalf of brokers with new prospective employers, advising brokers regarding their employment contracts and non-competition/non-solicitation agreements, advising broker-dealers on best practices when hiring a prospective broker, advising brokers and negotiating the resolution of outstanding promissory notes, and obtaining or defending against temporary restraining orders.
I have also performed internal investigations of several stock loan departments, and have represented those firms and their current and former employees in regulatory investigations.
I am currently an officer of the Securities Litigation & Arbitration Committee of the New York State Bar Association.
I am also a member of the Public Investors Arbitration Bar Association where I serve on several committees that prepare comment letters regarding proposed securities legislation and self regulatory rules. I was recently honored "for assisting PIABA in its SRO Comment efforts and furthering the protection of investors against investment abuses."
I am admitted to the bar in New York, New Jersey and Illinois and can represent parties in FINRA arbitrations throughout the United States.
Licensed since 1993
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|IL||Active And Authorized To Practice Law||1997||05/14/2015|
|Award Name||Grantor||Date Granted|
|SRO Comment Letter Appreciation||Public Investors Arbitration Bar Association||2014|
|SRO Comment Letter Appreciation||Public Investors Arbitration Bar Association||2013|
|Proclamation of thanks for Teamwork in Saving a Life||Borough of Leonia Office of the Mayor||2013|
|Association Name||Position Name||Duration|
|Public Investors Arbitration Bar Association||Memmber of Legislative and SRO Committees||2013 - Present|
|New York State Bar Association - Securities Litigation and Arbitration Committee||Secretary||1998 - Present|