Paul A Lieberman

Mr. Lieberman has a unique combination of experience as a Litigator, Transactional Attorney, and Federal Procurement Practitioner, along with significant experience as a Project Manager and Subject Matter Expert (SMS).

With respect to government contract procurement matters, Mr. Lieberman has been involved in the following:
--Contract Dispute Act
--FAR & DFAR rules
--Federal False Claims Act
--Federal Corrupt Practices Act
--Wrongful Termination, Termination for Convenience & Default
--Requests For Equitable Adjustments
--Prime/Subcontractor Performance Issues
--Protests
--Small Business Administration programs, diversity, set-asides and teaming agreements
--Miller Act Performance/Payment Bond

Mr. Lieberman’s skill-sets are applied in a client-centric manner, which frequently involve an interdisciplinary team of high level professionals working on high visibility/large exposure engagements. He has been involved in all aspects of government and industry RFP’s and competitive bid applications.

Mr. Lieberman represents a diverse range of broker-dealers, advisors and funds, frequently developing Early Case Assessment Strategies stressing in-depth factual investigation and analysis of regulatory requirements and legal precedents in assessing the relative merits of claims and defenses, leading to successful results.

His unique strength lies in the coordination with client “teams” in the review and development of enhancements to policies, procedures, training, and implementation of strategic changes, including Cyber Security and Privacy issues.

Mr. Lieberman has a distinguished record of achievement on behalf of clients in the resolution of complex SEC, CFTC, FINRA and state regulatory investigations and enforcement proceedings. Mr. Lieberman has prosecuted and defended many arbitration and reparation proceedings and reached successful mediations on behalf of clients.

He has also assisted clients in the selection of “best of breed” expert vendors in E-discovery matters, and managing the spectrum of Electronic Discovery Reference Model (“EDRM”).

Representative Matters

• Review and revision of firm’s policies and procedures, Codes of Ethics and training programs.
• Monitored compliance of client’s undertakings in SEC settlement agreements, and assisted clients in development and implementation of revised compliance policies/procedures, including supervision matters.
• Counseled senior management and CCOs in meeting examination challenges and coordinating responses to document requests and reviews of internal risk assessments.
• Advised clients in a wide range of securities and advisory issues affecting broker-dealers, investment advisers and hedge funds, including supervisory, back-office/operations matters, and regulatory compliance affecting officers, directors, employees, independent contractors and staff.
• Represented producer teams and individuals in Broker Protocol transitions, including protocol training, review of compensation packages forfeited and negotiation of new compensation arrangements.
• Addressed termination disclosures and State/FINRA registration issues.
• Registration and disclosure matters with state insurance departments
• Advised clients on carrier due diligence and selection, policy coverage, for D & O, E & O, fidelity bonds, and renewal/disclosure matters.
• Debt/Equity underwritings and private placements

Representative Litigation Matters

• Successfully defended investor adviser during SEC regional office investigation and subsequent Wells submission and negotiations, resulting in adviser not being named in the proceeding.
• Represented clients in the defense of SEC, DOJ, CFTC, FINRA and State securities commission investigations and enforcement proceedings.
• Challenged enforcement recommendations with Wells-type mitigation responses.
• Defended BD, RIA’s, Funds officers and affiliated brokers in customer disputes.
• Representation of witnesses/targets in all aspects of criminal/white collar crime investigations, including sanction negotiation.
• Defended CTA’s, CPO’s and FCM’s before CFTC  enforcement matters and customer-initiated reparations proceedings.
• Defended insurance agents and brokers in customer-related disputes and industry sales practices matters.
• Represented clients in the financial services sector and other commercial enterprises, in employment litigation, alternative dispute resolution proceedings.
• Utilizing Early Case Assessment Strategies (ECAS) and a client-centric, results oriented approach, generated solutions for commercial/business litigation, employment, trade secrets, and non-compete/non-solicitation issues, including prosecution and defense of applications for injunctive relief, in both state and federal courts.
• Represented individuals and teams in completing Broker Protocol compliant transitions, including negotiating financial arrangements.
• Represented BD/Investment Advisor clients in defense and prosecution of arbitrations and mediations involving breach of contract, wrongful termination/discharge, enforcement of restrictive covenants.
• Represented clients in defense or assertion of age/race discrimination claims.