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Richard A Levan

Richard A Levan

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Practice areas:

Advertising, Securities & Investment Fraud, Administrative Law

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Practice Areas

Licensed since 1982

  1. Advertising: 34%
  2. Administrative Law: 33%
  3. Securities & Investment Fraud: 33%

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Contact Info

Richard A Levan & Assoc Pc
1500 Jfk Blvd Ste 1422
Philadelphia, PA, 19102

Two Penn Center Ste 1422
1500 John F. Kennedy Blvd
Philadelphia, PA, 19102

Wiggin & Dana, LLP

50 S 16th St Ste 2925
Philadelphia, PA, 19102-2544

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Resume

License
StateStatusAcquiredUpdated
NYCurrently registered 199303/13/2015
PAActive198705/31/2015
DCInactive 198205/24/2015

Professional Misconduct

We have not found any instances of professional misconduct for this lawyer.
Avvo Contributions
Legal Answers
Awards
Award NameGrantorDate Granted
AV RatedN/AN/A

Publications
Publication NameTitleDate
Levan Friedman LLPOPTIONS DATING UPDATE: Delaware Chancery Court Deals Blow to Corporate Defendants in Stock Options Backdating and Spring-Loading Cases2007
UnknownSEC Loses Insider-Trading Case:Court “Distressed” by Counsel’s Conduct2006
9th Annual Securities Law ForumSEC Enforcement Actions Under the Investment Advisers Act of 1940, January 1, 2005 - February 28, 20062006
Regulatory UpdateCurrent SEC Examination Policies and Procedures For Investment Advisers and Investment Companies2006
PBI 7th Annual Federal Securities Law Forum Course BookSEC Enforcement Actions; The Past as Prologue2004
NRS Spring Compliance Conference Course BookThe SEC's New Push on Internal Controls and Risk Assessment: What Every Compliance Officer Needs to Know Now2003
PBI 6th Annual Federal Securities Law Forum Course BookSEC & Private Litigation Developments2003
NSCP Currents,SEC Enforcement Actions; The Past as Prologue, or, What Every Compliance Officer Needs to Know Now2003
NSCP 2003 East Coast Regional Meeting Course BookIdeal Compliance Procedures2003
NSCP CurrentsSEC Year in Review2003
NSCP CurrentsSEC Year in Review2003
UnknownHow to Handle an SEC Inspection2002
Fifth Annual Securities Law ForumSEC Actions Involving Investment Advisers and the Advisers Act of 1940 For the Years 1999-20012002
PBI Course HandbookLawyers and the Media: A Primer2002
Complinet North AmericaAnti-Money-Laundering Compliance Tips for Procrastinators2002
NRS 16th Annual Fall Investment Adviser & Broker-Dealer Compliance ConferenceRecent Broker-Dealer Cases: The Compliance Officer’s Role in Reducing Litigation Risk2001
Insights: The Corporate & Securities Law AdvisorThe Supreme Court's Decision in Wharf Holdings: An Opportunity for Clarification Missed"The Supreme Court's Decision in Wharf Holdings: An Opportunity for Clarification Missed2001
The Business Law ReportNew SEC Rules May Help Clarify Insider Trading Liability2001
The Business Law ReportThe SEC Takes Aim At Good Soldiers2000
The Business Law ReportThe Other '40 Act: Reflections on the Investment Advisers Act of 1940 on its 60th Birthday2000

Education
School NameMajorDegreeGraduated
George Washington University's National Law CenterLawJD - Juris Doctor1982
University of PennsylvaniaN/ABA - Bachelor of Arts1979

Speaking Engagements
Conference NameTitleDate
Pennsylvania Bar InstituteAiding and Abetting Liability Under the Federal Securities Laws2007
NASD/Wharton InstituteConducting Internal Investigations2006
NASD/Wharton InstituteConducting Internal Investigations2006
Pennsylvania Bar InstituteThe SEC’s Recent Litigation Experience: Losses and Lessons2006
Pennsylvania Bar InstituteThe SEC’s Recent Litigation Experience: Losses and Lessons2006
NASD/Wharton InstituteConducting Internal Investigations2006
NASD/Wharton InstituteConducting Internal Investigations2006
Pennsylvania Bar InstituteSEC Enforcement and Private Securities Litigation Update2005
Pennsylvania Bar InstituteSEC Enforcement and Private Securities Litigation Update2004
National Membership MeetingThe Science of Compliance2003
3rd Annual Fall Compliance ConferenceSEC Enforcement Actions Against Investment Advisers: Identifying Trend Lines, Lessons, and Predictions2003
NSCP 2003 East Coast Regional Membership MeetingIdeal Compliance Procedures2003
The 2003 Audio Conference SeriesInvestment Adviser Marketing Practices2003
NSCP 2002 National Membership MeetingDay to Day Compliance Obligations2002
Second Annual National Symposium on Investment Adviser RegulationSEC Enforcement Actions Against Investment Advisers - What Every Adviser Needs to Know2002
Pennsylvania Bar InstituteSEC Enforcement and Private Securities Litigation Update2002
NRS Annual Spring 2002 Compliance ConferenceDisclosure, Fiduciary Duties & the Tension Between Government & Business2002
NRS Annual Spring 2002 Compliance ConferenceLessons Learned from Recent IA & B-D Enforcement Cases2002
6th Annual Federal Securities Law ForumSEC & Private Litigation Developments2002
Pennsylvania Bar InstituteAiding and Abetting Liability Under the Federal Securities LawsN/A

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