Securities law New York County Lawyers

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New York City

Thomas Wyckoff New York City New York County New York

? Pragmatic interpretation, drafting, negotiation, clarification and explanation to management, execution, & closing of all contractual matters. ? Negotiation and design of employment agreements, stock option, stock appreciation rights, & termination settlement arrangements. ? Initiation, monitoring & management of long-term sourcing arrangements in multiple supply-chain and vendor environments (China, England, Mexico & Canada). ? Entity formations & structures inclusive of tax & corporate governance in accordance with constituent objectives. ? Analysis, creation & ...

New York City

Mark J. Astarita New York City New York County New York

My legal practice has always involved the representation of stock market participants, including investors, financial professionals and firms, nationwide. My work includes representation of in connection with FINRA Examinations and Enforcement Proceedings, as well as SEC investigations. I also represent individual brokers from virtually every major firm in their contract negotiations, employment termination, U-4 and U-5 issues. In specialized situations where the facts or law present novel issues, I also represent investors. I have appeared before arbitration panels and regulators in 22 s...

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(212) 509-6544

New York City

Brent Adam Burns New York City New York County New York

The focus of our practice is the representation of individual and institutional investors in arbitrations and litigations involving claims of breach of fiduciary duty, breach of contract, mismanagement, stock fraud, suitability, unauthorized trading, negligence and churning.I also regularly represent those who work in the financial services regarding recruiting practices including issues relating to the Protocol for Broker Recruiting; non-solicit, non-compete and other restrictive covenants; customer privacy and other regulatory issues; best-practices for preserving a book of business through ...

New York City

Jenice Malecki New York City New York County New York

Jenice L. Malecki is a well-known securities attorney and the founder of Malecki Law. She is a successful and aggressive litigator with a uniquely diverse background representing thousands of investors and industry professionals. Ms. Malecki?s experience as a New York securities attorney began in class action litigation, working on the famed class action case In re Crazy Eddie. Throughout the 1990?s she represented numerous broker dealers in ?boiler room? stock fraud cases and the progeny of the real-life Wolf of Wall Street. She has been the Vice-President on the board of the PIABA Foundatio...

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(212) 943-1233

New York City

Asher Hawkins New York City New York County New York

Asher Hawkins was admitted to practice in New York in January 2015. Prior to joining Frank LLP, he served a postgraduate judicial clerkship with the State of New York Supreme Court, Appellate Division, Third Judicial Department....

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(800) 497-8076

New York City

Frank Xu New York City New York County New York

A graduate of Peking University Law School, PRC and Columbia University Law School, Frank Xu is a learned, successful and aggressive advocate. Frank Xu advises small/medium firms, companies and institutions on capital investment, financing contracts and cross-border acquisitions, and provides in-depth research on related U.S. laws, rules and regulations. Frank Xu drafts international trade contracts, commercial and financing agreements, and manages related litigation. Frank Xu is admitted to the New York Supreme Court, United States District Court, S.D.N.Y., United States Federal Circuit, 2d C...

New York City

Rogelio J. Carrasquillo New York City New York County New York

Roy has been providing strategic guidance and advice to clients in a variety of complex and sophisticated legal transactions for over 20 years. He advises domestic and foreign companies, multinationals, and entrepreneurs on their business activities and investment considerations in the United States and throughout Latin America, Asia, and Europe, including in cross-border transactions.Roy assists clients in equity and debt offerings registered under U.S. securities laws, the issuance of equity and debt in global transactions not subject to the registration requirements of U.S. securities laws ...

New York City

Mark Strauss New York City New York County New York

A former investigative journalist, Mark is a successful anti-fraud attorney with more than twenty years of experience in complex civil litigation. He has represented qui tam whistleblowers under the False Claims Act as well as victims of fraud under the federal securities laws and the Racketeer Influenced and Corrupt Organizations Act (RICO). His efforts have resulted in the recovery of hundreds of millions of dollars for clients.Prior to founding Mark A. Strauss Law, PLLC, Mark was a partner at Kirby McInerney LLP, a respected plaintiffs? class action firm that was named one of the ?Most Fear...

New York City

Neil Fridman New York City New York County New York

I enjoy advising companies and identifying solutions to complex business and legal problems. My intimate knowledge of corporate/real estate law, investment banking, and private equity has positioned me to serve as outside general counsel to dozens of startups, middle-market, and enterprise clients over the last decade. I've also provided guidance to several tech companies in their sale to large cap businesses, and have closed some of the largest commercial real estate transactions.Prior to law practice, I worked in finance for several years as both an investment banker and consultant with a fo...

New York City

Manuel G.R. Rivera New York City New York County New York

I am a New York-based corporate lawyer with more than 15 years of experience representing middle market public companies, particularly in technology, retail, mining and energy businesses, in securities law compliance and corporate governance matters, financing transactions and corporate acquisitions and mergers.I have guided several dozen U.S. public companies and foreign private issuers in complying with federal securities law periodic reporting requirements and new regulations including the JOBS Act, the Dodd-Frank Act and the Sarbanes-Oxley Act. I also advise major shareholders and corporat...

New York City

Robert R. Miller New York City New York County New York

Robert R. Miller is an associate at Lax & Neville LLP with a practice primarily in securities, employment, and corporate disputes before the Financial Industry Regulatory Authority (?FINRA?) the American Arbitration Association (?AAA?), and state and federal courts.He represents individual investors in their claims against brokers, broker-dealers, and wealth managers for abusive customer sales practices, such as fraud, churning, unsuitability, and breach of fiduciary duty; brokers and other financial services professionals in a broad range of matters, including transitions between firms an...

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(212) 696-1999

New York City

Andrew Abramowitz New York City New York County New York

Andrew Abramowitz is a corporate and securities transactional attorney with outstanding depth and breadth of experience. In 2010, following years of intensive experience as a partner and associate at the New York offices of prominent, international law firms, he launched his own practice.His goal is to provide clients with the sophisticated legal representation and prompt response time found at large law firms, together with attributes not often associated with those firms: consistent partner-level attention to every aspect of a matter, not merely at the initial client meeting; responsiveness ...

New York City

Brandon S. Schwartz New York City New York County New York

Brandon is the Managing Attorney at the Law Firm of Brandon S. Schwartz, P.C. Prior to founding the firm, Brandon worked in the Corporate practice of the New York office of DLA Piper, a global law firm, through a post-graduate fellowship program provided by the Two-Year JD Honors Program at New York Law School. During this experience, Brandon was involved in a broad range of corporate matters including corporate governance, due diligence, initial public offerings, and M&A transactions. Additionally, Brandon worked as an attorney and consultant for small and mid-size law firms, working on c...

New York City

Ralph Stone New York City New York County New York

Ralph M. Stone, the founding partner, is recognized as a leading lawyer in the securities litigation, investor rights, and international discovery fields. He has represented public and private companies, hedge funds, and other institutional investors in a wide variety of commercial litigation in courts around the country and in FINRA and American Arbitration Association arbitrations, on creditor committees in international bankruptcies, and in various other forums. He actively represents and advises private banks and other non-U.S. institutions in major securities litigation, and he regularly ...

New York City

Raoul Duggal New York City New York County New York

Raoul Duggal is a corporate attorney focusing on the representation of start-up and venture-backed companies. He has advised companies and investors on numerous venture capital and angel investments and exits. In addition, he has extensive experience advising clients on a broad spectrum of domestic and international M&A transactions, including restructuring and refinancing transactions. Raoul also has experience with public companies and has advised on domestic and international IPOs.Raoul has represented a wide variety of start-up companies and investors, as well as numerous mid- and larg...

New York City

Joseph A. Gershman New York City New York County New York

Joseph A. Gershman is a partner of Rich, Intelisano & Katz. His practice focuses on complex commercial, securities, real estate and bankruptcy litigation. Mr. Gershman is rated by Martindale-Hubbell Peer Review Ratings as an AV Preeminent attorney, its highest designation, with his peers recognizing him as ?an excellent lawyer? and ?an outstanding litigator?. He is also a recipient of The Legal Aid Society?s 2013 Pro Bono Publico Award for outstanding service to the Society and its clients.Mr. Gershman has extensive experience within the areas of complex commercial, securities, real est...

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(212) 684-0300

New York City

August M. Iorio New York City New York County New York

August Iorio is Partner at Iorio Altamirano LLP, a securities arbitration law firm in New York, New York. Iorio Altamirano LLP is a highly-skilled, client-focused law firm with the experience, judgment, and vision to achieve favorable outcomes for its clients. Iorio Altamirano LLP's primary practice area is securities arbitration, where it represents investors nationwide who have suffered investment losses due to wrongful conduct by financial advisors and brokerage firms.Iorio Altamirano LLP has nearly 20 years of combined experience as securities arbitration lawyers and has helped individual ...

New York City

Jorge Altamirano New York City New York County New York

I am a Partner at Iorio Altamirano LLP, a securities arbitration law firm in New York City. We represent investors nationwide who have suffered investment losses due to wrongful conduct by financial advisors and brokerage firms.Iorio Altamirano LLP has nearly 20 years of combined experience as securities arbitration lawyers. We have helped individual investors, groups of individuals, business entities, family offices, credit unions, and institutional investors recover nearly $100 million in investment losses.I have handled hundreds of FINRA arbitration claims and have worked closely with retai...