Richard Aldo Serafini

I have experience in white collar crime in courts throughout the United States. I have handled all manner of fraud allegations including securities, health care, investment, financial reporting, accounting, contract, computer, credit card, tax, currency transactions, and real property. Additionally, I am very experienced in the following areas: RICO, Foreign Corrupt Practices Act issues, national security cases, and compliance issues. Moreover, I have handled many drug distribution matters.

I was a supervisor in the New York office of the Securities and Exchange Commission. My practice includes representation individuals, companies and broker dealers before the SEC and CFTC, FINRA, and state agencies. In addition I have represented plaintiffs in NASD/FINRA arbitration actions. Finally, I have defended corporations and their officers in class action and shareholder derivative actions.

I have a background in the Securities and Exchange Commission. I have handled numerous SEC matters as well as Federal Trade Commission, Comptroller of the Currency, and banking matters

My securities practice has included the representation of those who have been swindled by dishonest companies and financial professionals. I learned the intricacies of the investment markets and the types of fraud while at the Securities and Exchange Commission. In private practice, I have continued to represent those who are the victims of unscrupulous behavior.