SAC Bulletin Board

PEOPLE: Supervisory Trial Counsel David Axelrod Joins Ballard Spahr

Posted on 2017-04-26

Ballard Spahr LLP is pleased to announce that David L. Axelrod will join the firm as partner in its Litigation Department. Prior to joining Ballard Spahr, Mr. Axelrod served as Supervisory Trial Counsel for the Philadelphia Regional Office of the U.S. Securities and Exchange Commission (SEC) and a former federal prosecutor. While at the SEC, Mr. Axelrod supervised all aspects of litigation, advised on investigations of potential securities law violations, worked with U.S. Attorney’s Offices across the country on coordinated investigations, and led nationwide insider trading training for SEC staff. He directed strategy and tactics for an active roster of cases involving insider trading, investment fraud, accounting fraud, and market manipulation. He also served as lead counsel in cases that went to trial, where he secured million-dollar judgments. To learn more about David L. Axelrod and his various achievements, please visit Ballard Spahr's website:

CFTC Acting Chairman Giancarlo Appoints James McDonald as Enforcement Director

Posted on 2017-04-26

U.S. Commodity Futures Trading Commission (CFTC) Acting Chairman J. Christopher Giancarlo is pleased to announce the appointment of James McDonald as the Director of the agency’s Enforcement Division. Mr. McDonald joins the CFTC from the U.S. Attorney's Office for the Southern District of New York, where he served as an Assistant U.S. Attorney and most recently in the Public Corruption Unit. While at the U.S. Attorney's Office, Mr. McDonald prosecuted a wide variety of cases, including serving as a member of the trial team that successfully prosecuted former Speaker of the New York State Assembly Sheldon Silver for public corruption offenses. To learn more about James McDonald and his various achievements, please visit CFTC's website:

Foley Adds Securities Enforcement Team in New York

Posted on 2017-04-26

Foley & Lardner LLP is pleased to announce that Jeremy Freeman and Allison Charney have joined the firm’s Securities Enforcement & Litigation Practice as partners in the New York office, along with their team of attorneys, an analyst and administrative staff. The team brings considerable government investigations experience and a particular focus on allegations of financial fraud matters in the investment banking space. Mr. Freeman and Ms. Charney represent financial institutions in regulatory and criminal investigations by various government entities and self-regulatory organizations, including the Securities and Exchange Commission (SEC), Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Commodity Future Trading Commission (CFTC) and New York State Attorney General, among others. They also advise clients in the emergent fields of financial technology, cybersecurity and other areas where technology intersects with the financial services industry. To learn more about Jeremy Freeman and Allison Charney and their various achievements, please visit Foley & Lardner's website:

Former SEC Chair Mary Jo White Returns to Debevoise & Plimpton

Posted on 2017-03-28

Debevoise & Plimpton LLP is pleased to announce that Mary Jo White will return to the firm as Senior Chair. Prior to serving as Chair of the SEC, Ms. White served as Chair of Debevoise & Plimpton's Litigation Department from 2002 to 2013. Ms. White will focus her practice on counseling boards of directors and representing clients on significant and sensitive matters, including companies facing crises involving multi-faceted government investigations and cases. Ms. White also brings along with her, Andrew J. Ceresney, who served under Ms. White as the Director of the Division of Enforcement at the SEC. To learn more about Mary Jo White and her various achievements, please visit Debevoise & Plimpton's website:

K&L Gates Nabs Former FINRA Senior Counsel

Posted on 2017-03-28

K&L Gates LLP is pleased to announce that former FINRA senior counsel, Michael T. Dyson has joined the firm as partner in its Washington, DC office. Mr. Dyson will focus his practice on securities litigation, enforcement, regulation and compliance. To learn more about Michael T. Dyson and his various achievements, please visit K&L Gates' website:

Kelly E. Mourning Joins Shustak Reynolds & Partners as a New Associate

Posted on 2017-02-21

Shustak Reynolds & Partners is pleased to announce that Kelly E. Mourning has joined the firm as associate in its San Diego, CA office. Kelly's practice focuses on civil litigation and arbitration, primarily in the areas of securities fraud and business litigation. For further information and to learn more about Kelly and her various achievements, please visit Shustak Reynolds & Partners' website:

Keesal Promotes Shareholders and Adds Associates

Posted on 2017-01-09

Keesal Young & Logan is pleased to announce that Kendra Canape, Jennifer Porter and Molly Henry have been promoted to Shareholders and Jared Speier, Cheryl Chang and Kate Hardy have recently joined the firm as Associates. To learn more about these attorneys and their various achievements, please visit Keesal Young & Logan's website:

Bates Group Wants You to Meet their Newest Experts and Consultants

Posted on 2016-11-18

Bates Group is pleased to announce the addition of the following new experts and consultants: Susan Berger, Susan Faulkner, Miriam Lefkowitz and Keith Underwood. Ms. Susan Berger is a consulting expert and attorney based in New York City specializing in anti-money laundering/countering terrorist financing (AML/CFT) regulation and compliance for U.S. and global broker-dealers and registered investment advisors. Ms. Susan Faulkner is a Bates banking expert and CEO of Marquis Software Solutions Inc. Ms. Faulkner has also served as a strategic advisor assisting companies evaluate, assess and launch innovative financial services business solutions, products and capabilities. Ms Faulkner is a proven senior bank executive with 30 years of experience in the financial services industry and broad-based knowledge and expertise across finance, strategy, risk management, consumer and small business products, operations, sales and customer service. Ms. Miriam Lefkowitz is a Bates expert with more than 20 years of professional experience in broker-dealer and investment adviser securities compliance. She has hands-on experience protecting and defending firms as an in-house legal and compliance professional, as a private securities defense counsel and as an independent compliance consultant and expert witness. As General Counsel and senior compliance and regulatory advisor to small and regional SEC-registered, dually-registered retail investment advisers and broker dealers, Ms. Lefkowitz is actively involved in and has direct experience with, regulatory disclosures, the development of all compliance procedures and supervisory controls, internal investigations, complaint resolution, branch examinations, to name a few. Mr. Keith Underwood is a respected 25-year veteran of the global foreign exchange market where he earned a reputation as a formidable FX derivatives portfolio manager and business architect. He is a derivatives expert with vast trading, risk management, and speculative trading experience across asset classes. He is an expert in market practice and in the institutional structure and widespread trading strategies commonly employed by traders. To learn more about these experts and consultants and their various achievements, please visit Bates Group's website:

High-Stakes Litigator Gregory Markel Joins Seyfarth Shaw's New York Office

Posted on 2016-11-18

Seyfarth Shaw LLP is pleased to announce that Gregory Markel has joined the firm's Litigation department as a partner in Seyfarth's New York, NY office. Previously with Cadwalader Wickersham & Taft, Mr. Market's practice focuses on high-stakes litigation regarding securities and antitrust issues, corporate governance, merger and acquisitions, and directors and officers defense. In addition, he also handles high level internal investigations involving complex financial issues and is often retained by corporate boards of directors to handle serious internal matters. To learn more about Mr. Markel and his various achievements, please visit Seyfarth Shaws's website:

Former SEC Associate Regional Director Joins WilmerHale

Posted on 2016-11-18

WilmerHale is pleased to announce that former head of enforcement at the Securities Exchange Commission, Lorraine Echavarria has joined the firm's Los Angeles, CA office. As partner in the firm's Securities Litigation and Enforcement Practice, Ms. Echavarria will focus her practice on representing public companies, corporate officers, financial institutions, hedge funds, and other financial market participants facing government investigations and enforcement actions. She will also conduct internal investigations for boards and audit committees, as well as provide advice and guidance to businesses on corporate governance and compliance issues. To learn more about Ms. Echavarria and her various achievements, please visit WilmerHale's website:

Howard & Howard Expands Chicago Office: Welcomes Four New Attorneys

Posted on 2016-10-17

Howard & Howard Attorneys PLLC is pleased to announce that Michael F. Braun, James L. Komie, Michael D. Lee, and Laurie A. Perez have joined the firm. They will practice out of the firm’s Chicago Office. Michael F. Braun concentrates his practice in labor & employment, civil litigation, and financial services. He is a seasoned litigator both in court and in arbitrations providing litigation and counseling in the areas of employment, restrictive covenants and trade secrets, and business disputes. James L. Komie concentrates his practice in civil litigation and counseling matters, with an emphasis on employment and trade secret/non-compete issues. He has significant experience representing financial services firms and their employees; advising companies in employee defection and general employment matters; representing clients before FINRA arbitration panels; general federal and state court litigation; employment and separation agreements; and probate and trust litigation. Michael D. Lee concentrates his practice in civil litigation, financial services and labor & employment. He has handled litigation issues as diverse as secured transactions, commercial matters, personal injury suits, bankruptcy claims, probate, and mortgage foreclosures. Laurie A. Perez focuses her practice on labor & employment, financial services, and general commercial litigation matters. She has extensive experience representing financial institutions in connection with litigation matters, including contract disputes, employment-related issues, trade secret protection, and enforcement of restrictive covenants. To learn more about these attorneys and their various achievements, please visit Howard & Howard's website:

Secure Financial Services Hires Luke Baynes as Marketing Associate and Investment Analyst

Posted on 2016-09-30

Secure Financial Services Inc. (SFS) is pleased to announce that Luke Baynes has been hired to serve in a dual capacity as Marketing Associate and Investment Analyst. Mr. Baynes previously worked as a trader and Series 24 licensed principal at Equity Services. In addition to joining a team of skilled investment analysts, he will spearhead marketing and client outreach efforts, integrating his journalism skills and experience as a financial newsletter editor. Secure Financial Services Inc. based in Colchester, Vermont, is an Investment Analysis and Expert Witness firm that specializes in providing legal teams with trial-ready analytic reports and general case support services for FINRA arbitration and securities litigation hearings. Since its founding 1993, SFS has been a national leader in expert witness services and the preparation and presentation of P&L reports and supplemental analyses of investment portfolio securities. To learn more about Secure Financial and its team of investment analytics experts, please visit Secure Financial's website:

Prominent Securities Regulatory Attorney Joins Murphy & McGonigle

Posted on 2016-10-17

Murphy & McGonigle PC is pleased to announce that Howard Kramer has joined the firm as a shareholder in
its Washington, DC office. Mr. Kramer’s arrival continues the strong trend of top regulatory and litigation talent joining the financial services boutique law firm founded in 2010. Mr. Kramer represents clients in trading and markets and broker-dealer regulation, compliance, and investigations and regularly advises and defends leading financial institutions. He focuses on trading rules, derivatives, alternative trading systems, and broker-dealer regulatory and compliance issues. Prior to returning to private practice, Mr. Kramer served 16 years at the SEC, including as Senior Associate Director and Associate Director of the Division of Market Regulation (now known as the Division of Trading and Markets). Mr. Kramer graduated cum laude from the University of Michigan Law School. To learn more about Mr. Kramer and his various achievements, please visit Murphy & McGonigle's website:

Bates Adds New Experts

Posted on 2016-08-11

The Bates Group is pleased to announce the following new additions and specialists: Penny Borgerding, Alejandro Mercado-Martinez and Robert Reidy. Ms. Penny Borgerding is a Bates Group affiliate expert and veteran financial services professional with over 20 years experience drafting, revising, and maintaining compliance polices and procedures. Ms. Borgerding has a proven track record evaluating financial and compliance issues, taking appropriate action to improve operational performance and developing and implementing policies, procedures, and programs to ensure compliance with existing regulations and best practices. Mr. Alejandro Mercado-Martinez is a Bates Group affiliate expert based in San Juan, Puerto Rico. A pioneer in the field of e-discovery in Puerto Rico, Mr. Mercado has contributed to the advancement of e-discovery competence in the bar by designing and teaching the first course of its kind at two major law schools on the island. Mr. Mercado has also contributed in setting the standard for Continued Legal Education seminars in the area of e-discovery and has assisted judges in understanding and confronting the challenges that arise as a result of e-discovery in litigation. Mr. Robert Reidy is a Bates Group affiliate expert specializing in suitability-related issues including alternative investments, limited partnerships, private equity and structured products. Mr. Reidy began his career in 1977 as a Financial Advisor at Merrill Lynch in Houston focusing on commission sales of stock and bonds. He then spent seven years as Senior Vice President and Limited Partner at Oppenheimer & Company, where he was involved in alternative investments. He has spent the last 23 years at UBS as a Sales Manager, Branch Manager, Complex Manager and as an Executive Director. To learn more about these experts and their various achievements, please visit Bates Group's website:

Greenberg Traurig Expands Securities Litigation Practice; Adds SEC Veteran to DC Office

Posted on 2016-08-11

In an effort to continue growing its Washington, DC office, Greenberg Traurig is pleased to announce that former U.S. Securities and Exchange Commission Enforcement Division Senior Officer, Elaine C. Greenberg has joined the firm as a shareholder in its Litigation Practice. Ms. Greenberg, who has nearly 30 years of experience, focuses her practice on securities and regulatory matters, investigations, enforcement actions and litigation; public finance; and white collar and corporate investigations. She has represented and advised major financial institutions, underwriters, broker-dealers, issuers, municipal advisors, former public company officers, and others. Before joining the firm, Ms. Greenberg was a partner at Orrick Herrington & Sutcliffe. To learn more about Ms. Greenberg and her various achievements, please visit Greenberg Traurig's website:

Paul Hastings Continues its White Collar Expansion with Addition of SEC Enforcement Partners

Posted on 2016-08-11

Paul Hastings LLP, a leading global law firm, is pleased to announce that Thomas Zaccaro and Nicolas Morgan have joined the Investigations and White Collar Defense practice as partners in the Los Angeles, CA office. They and their team join from Zaccaro Morgan LLP an SEC enforcement boutique that Mr. Zaccaro and Mr. Morgan co-founded in 2015 to focus on high-stakes complex civil litigation, SEC and other government investigations and defense, white collar criminal defense, and internal investigations. Mr. Zaccaro focuses his practice on civil, commercial, and criminal litigation in state and federal courts with a special emphasis on defending corporations and executives in government investigations and other criminal and regulatory proceedings. His representations also include general securities litigation, class actions and shareholder derivative suits. Mr. Morgan focuses his practice on complex securities litigation in state and federal courts and representations involving government investigations and white-collar crime allegations levied against individuals and businesses. In the course of his practice, he routinely represents securities issuers, company officers and directors, investment funds, analysts, and brokers in connection with SEC and FINRA investigations, litigation, and arbitration. To learn more about Mr. Zaccaro and Mr. Morgan and their various achievements, please visit Paul Hasting's website:

SDNY Prosecutor Carrie Cohen Joins Morrison & Foerster

Posted on 2016-06-01

Morrison & Foerster is pleased to announce that Carrie Cohen, an Assistant US Attorney in the Southern District of New York has joined the firm as a partner and member of its Securities Litigation, Enforcement and White Collar (SLEW) practice. Ms. Cohen will represent clients in regulatory enforcement matters, corruption investigations, white-collar criminal cases, tax matters and complex civil litigation. Ms. Cohen most recently was lead prosecutor in the trial of former NY State Assembly Speaker Sheldon Silver. She previously served in the NY State Attorney General's office where, as chief of the Public Integrity Unit of the Criminal Division, she led the prosecution of former State Comptroller Alan Hevesi. To learn more about Ms. Cohen and her various achievements, please visit Morrison & Foerster's website:

Seyfarth Shaw Adds Financial Services Litigation Partner in DC Office

Posted on 2016-06-01

Seyfarth Shaw LLP is pleased to announce that Tonya Esposito Oliver has joined the firm's Litigation department as partner and as member of its Consumer Financial Services Litigation practice group and White Collar, internal investigations, and False Claims Team in Washington, DC. Ms. Oliver joins Seyfarth Shaw from Leon Cosgrove LLC, where she was a partner in the Financial Services and White Collar practice groups. Ms. Oliver has extensive experience representing large financial institutions in both litigation and compliance matters. She has represented financial institutions in a variety of matters involving government investigations and related internal audits, class actions, qui tam/False Claims Act matters and single borrower cases. To learn more about Ms. Oliver and her various achievements, please visit Seyfarth Shaw's website:

Wiand Guerra King Adds Ailen Cruz to Firm

Posted on 2016-05-04

Wiand Guerra King PL is pleased to announce the addition of Ailen Cruz to their firm. Prior to joining Wiand Guerra, Ms. Cruz' practice included both litigation and transactional work. Her transactional experience included drafting of business contracts, employment agreements, corporate bylaws, shareholder agreements, operating agreements, independent contractor agreements, and employment agreements, as well as estate planning documents and real estate lease agreements. Her commercial litigation experience involved business contracts, fraudulent transfers by business entities, restrictive covenants, and garnishment of wages. To learn more about Ms. Cruz and her various achievements, please visit Wiand Guerra King's website:

Former Freeman Freeman & Smiley Attorney Opens New Law Firm

Posted on 2016-05-10

Robert J. Girard, II is pleased to announce the formation of his new firm Girard Bengali APC. Girard Bengali APC specializes in all aspects of FINRA arbitration and regulatory-related matters, as well as, employment and business litigation and counseling. The firm believes in aggressive advocacy and unparalleled service, and is located in the heart of the Financial District in Downtown Los Angeles. To learn more about Mr. Girard, his new firm and his various achievements, please visit Girard Bengali's website:

Bates Group Adds New Experts

Posted on 2016-05-04

Bates Group is pleased to announce the addition of the following affiliate experts and specialists: Ralph Cursio, Mark Corcoran, Bradford Miller, Lilian Morvay, Robert Moses, Susan Paul and Craig Wolson. Mr. Ralph Cursio is an affiliate expert with Bates Group based in New York City specializing in issues relating to the Federal securities laws with an emphasis on matters relating to claims involving broker-dealers, investment advisers, and the defense of entities and individuals in securities regulatory actions. Mr. Mark Corcoran is an affiliate expert with Bates Group based in Portland, Oregon. He uses his extensive experience in the securities industry to provide consulting and expert testimony related to investment and financial litigation. Mr. Bradford Miller is an affiliate expert with Bates Group, who's experience includes retail and institutional equities sales practices, hedge funds, wealth/investment management and due diligence. Ms. Lilian Morvay is an affiliate expert with Bates Group and has over 25 years of legal, insurance and risk management experience in the professional liability arena, with a specific focus on Independent Broker Dealer and Investment Advisor Errors & Omissions. Mr. Robert Moses is an affiliate expert with Bates Group based in New York. His extensive experience in the financial services industry enables him to provide counsel, consulting and expert testimony related to the regulatory, compliance, supervisory and product due diligence areas of the financial services business. Ms. Susan Paul is an affiliate expert with Bates Group based in New York. She uses her extensive experience in the securities industry to advise clients regarding risk management, corporate governance, compliance and regulatory issues. Mr. Craig Wolson is an affiliate expert with Bates Group specializing in securitization, derivatives, securities and finance matters. His experience includes cash, synthetic and hybrid CDOs, asset-backed securities and various types of structured investment vehicles, to name a few. To learn more about these experts and their various achievements, please visit Bates Group's website:

Bass Berry & Sims Names 5 as Members of the Firm

Posted on 2016-05-04

Bass Berry & Sims is pleased to announce the following attorneys have been named Members of the firm: Annie T. Christoff, Jason S. Lewallen, Philip M. Lewis, R. Gregory Parker and Shelly R. Thomas. Ms. Christoff concentrates her practice in complex business securities and patent litigation. She represents clients in traditional business litigation, intellectual property litigation, securities litigation and arbitration, and commercial disputes. Mr. Lewallen advises both public and private companies on real estate, finance and general commercial law matters. He works closely with his clients throughout all aspects of their transactions, with a focus on helping them achieve the desired business objectives in a practical, timely and cost-effective manner. Mr. Parker counsels technology companies on the procurement and enforcement of intellectual property rights. He focuses on patent, trademark, trade secrets and copyright litigation, representing clients in a diverse range of technologies in intellectual property disputes across the country. Mr. Lewis advises corporations, partnerships and other entities in connection with mergers and acquisitions and capital market transactions, as well as general corporate matters. Ms. Thomas represents clients in the development, commercialization, transfer and protection of intellectual property assets. She advises clients on intellectual property and technology issues related to mergers and acquisitions, license agreements, and other transactions. To learn more about these attorneys and their various achievements, please visit Bass Berry Sims' website:

Milbank Adds Former Federal Prosecutor from New York's Southern District

Posted on 2016-05-04

Milbank Tweed Hadley & McCloy adds another prominent US Department of Justice veteran to its Litigation and Arbitration bench. Adam Fee, former Assistant United States Attorney for the Southern District of New York, has joined the firm's New York office as special counsel. Advising corporations, financial institutions and individuals, Mr. Fee's practice will focus on white collar investigations and defense, complex civil litigation and regulatory enforcement. To learn more about Mr. Fee and his various achievements, please visit Milbank's website:

Stradley Ronon Adds Four Investment Management Partners and Opens Chicago Office

Posted on 2016-03-10

Stradley Ronon Stevens & Young is pleased to announce it has opened an office in Chicago with the hiring of former K&L Gates Partners David P. Glatz and Alan P. Goldberg, both of whom join the firm as partners in the investment management group. In addition to the Chicago-based partners, Eric S. Purple and Nicole Trudeau, both previously partners at K&L Gates, have joined Stradley Ronons Washington, D.C., office as partners in the investment management group. Mr. David P. Glatz concentrates his practice on closed-end funds, advising clients on issues arising under the federal securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Company Act of 1940. Mr. Alan P. Goldberg concentrates his practices on representing registered investment companies and their independent board members, registered investment advisers, sponsors to unregistered investment pools and family offices. Mr. Eric S. Purple counsels mutual funds, exchange-traded funds, closed-end investment companies and other pooled investment vehicles, as well as investment advisers and independent fund directors, on matters arising under U.S. federal securities laws. Ms. Nicole Trudeau represents open- and closed-end funds and exchange-traded funds, other pooled investment vehicles and their independent board members, and investment advisers on matters relating to U.S. federal securities laws. To learn more about these attorneys and their various achievements, please visit Stradley Ronon's website:

Lax & Neville Expands Office and Promotes Attorney to Partner

Posted on 2016-02-25

Lax & Neville is pleased to announce that Sandra P. Lahens has become a Partner of the firm. Lax & Neville is also proud to announce the expansion of the firm with Robert J. Moses as Of Counsel and Robert R. Miller and David J. Lee as Associates. Sandra P. Lahens has been an associate at Lax & Neville for more than eight years and her practice primarily involves representing businesses and individuals in commercial litigation and arbitration of securities and investment disputes, employment matters and regulatory investigations. Robert J. Moseshas been in private practice since January 2015 serving various participants in the financial services arena, including registered investment advisors, broker-dealers, individual financial professionals, advisors to private funds and investors. Robert R. Miller practices primarily securities, employment, and corporate disputes. He also has broad experience in general commercial litigation, including contracts for the sale of goods under the Uniform Commercial Code, asset- and equity- based business sales, non-competition agreements, partnership disputes, oil and gas disputes, bad faith, fraud, and construction. David J. Lee has experience representing individual investors in claims against brokers, broker-dealers, and wealth managers; brokers and other financial services professionals in a broad range of matters, including transitions between firms and disputes over deferred compensation, promissory notes, Form U-5 expungements, restrictive covenants and employment agreements; and broker-dealers and other financial services firms and shareholders in corporate and contract disputes. David also has experience handling commercial and corporate matters for major financial institutions, credit card issuers, investment banks, and large and small companies. To learn more about these attorneys and their various achievements, please visit Lax & Neville's website:


Posted on 2017-02-21

Gelb & Gelb is pleased to announce the relocation of its main office to: 900 Cummings Center, Suite 207-V, Beverly, MA 01915. Phone: 617-345-0010. Fax: 617-345-0009. For further information about this firm please visit Gelb & Gelb's website:

Phillips Lytle LLP Moves to the Heart of New York City

Posted on 2017-02-21

Phillips Lytle LLP is pleased to announce that, their new New York, NY office is now located at 340 Madison Ave, 17th Floor, New York, NY 10173. Phillips Lytle's new Madison Ave office is at the heart of countless cultural, architectural, dining and shopping options - as well as NYC icons such as Grand Central Station, Bryant Park and Rockefeller Center. Although they are changing their location, Phillips Lytle LLP remains committed to providing the highest level of client service. To learn more about this firm, please call, Phone: 212-759-4888 or visit Phillips Lytle's website:

Rottenberg Lipman Rich P.C.

Posted on 2017-01-18

Rottenberg Lipman Rich P.C. is pleased to announce that, after almost 24 years at 369 Lexington Avenue, we have moved our New York office to The Helmsley Building, directly north of Grand Central Terminal. Our new address is: Rottenberg Lipman Rich P.C., The Helmsley Building, 230 Park Avenue, 18th Floor, New York, NY. 10169. For further information about this firm please call, Phone: 212-661-3080 or visit Rottenberg Lipman Rich's website:

Kutak Rock LLP

Posted on 2016-06-01

Kutak Rock LLP is pleased to announce that effective May 23, 2016, Kutak Rock's new address for its Washington, DC office address will be: Kutak Rock LLP, 1625 Eye St. NW, Suite 800, Washington, DC. For further information about this firm please call, Phone: 202-828-2400. Fax: 202-828-2488. or visit Kutak Rock's website:

Kenny Nachwalter PA

Posted on 2016-02-25

Kenny Nachwalter PA is pleased to announce that as of March 14, 2016, Kenny Nachwalter's new Miami, FL office address will be: Kenny Nachwalter PA, Four Seasons Tower, 1441 Brickell Avenue, Suite 1100, Miami, FL. 33131. For further information about this firm please call, Phone: 305-373-1000. or visit Kenny Nachwalter's website:

Shustak Reynolds & Partners

Posted on 2015-09-02

Shustak & Partners is pleased to announce that as of September 1, 2015 Shustak & Partners, a leading law firm with a national practice focused in the areas of securities, financial services and business law, is now Shustak Reynolds & Partners PC. Their location at 401 West "A" St., Suite 2250, San Diego, CA 92101 will remain the same. For further information about this firm please call, Phone: 619-696-9500. Fax: 619-615-5290. or visit Shustak Reynolds' website:

Norton Rose Fulbright

Posted on 2015-01-29

Norton Rose Fulbright LLP is pleased to announce that as of January 21,2015 they have changed their legal name from Fulbright & Jaworski LLP to Norton Rose Fulbright US LLP. The firm has made this change to strengthen the global brand of Norton Rose Fulbright and to eliminate any confusion in the marketplace. For further information about this firm please call, Phone: 212-318-3000 or visit Norton Rose Fulbright's website:

Crowe & Dunlevy

Posted on 2014-08-27

Crowe & Dunlevy is pleased to announce the relocation of their office to 324 North Robinson Avenue, Braniff Building, Suite 100, Oklahoma City, OK. 73102. Phone: 405-235-7700. Website:

ANNOUNCEMENTS: Lawyers of Wiand Guerra King Go Three-for-Three with Pro-Bono Clemency Petitions

Posted on 2017-02-06

The lawyers of Wiand Guerra King PL over the past eighteen months have undertaken, on a pro-bono basis, the task of filing clemency petitions with the Justice Department's clemency project for prisoners serving draconian sentences under prior administrations. Lawyers of Wiand Guerra filed clemency petitions on behalf of three non-violent prisoners who were serving lengthy sentences, including two prisoners serving life sentences without the possibility of parole who would have never been released from prison during their lifetimes. Due to the work of the firm's lawyers, one of these individuals has been released, a second is set to be released next month, and a third had his sentence commuted from life without parole to 262 months after already having served more than half of that sentence. This accomplishment is notable considering that President Obama has only granted approximately 5% of clemency petitions submitted during his administration. Jordan Maglich, Matthew Mueller and Dominique Heller were instrumental in preparing these petitions with the encouragement and support of Burton Wiand. Mr. Wiand, Wiand Guerra's Chairman, stated: "correcting injustice is one of the most satisfying tasks that a lawyer can undertake. WGK is proud of the efforts of its lawyers in assisting these three individuals." For more information regarding Wiand Guerra King PL, please visit their website:

John R. Snyder Launches New Website

Posted on 2017-02-06

Mr. John R. Snyder is pleased to announce the launch of his new website and startup practice Snyder Resolutions LLC. Snyder Resolutions provides information regarding Mr. Snyder's qualifications and experience and on the services that he offers. Drawing on skills and knowledge developed over the years and through his experiences, Mr. Snyder will continue to defend and prosecute commercial and financial litigation and arbitrations. In addition, Mr. Snyder will build on his skills and knowledge by offering his services as a trained mediator. Snyder Resolutions' website will from time to time provide useful news and analysis about developments and issues in arbitration, mediation, litigation, securities law, administrative law and other areas. To learn more about Mr. Snyder and Snyder Resolutions LLC, please visit the website:

Stradley Ronon Named Top Litigation Department for Midsize Firms by The Legal Intelligencer

Posted on 2016-12-05

Stradley Ronon Stevens & Young is proud to announce that they have been honored as the top litigation department among Pennsylvania's midsize law firms by The Legal Intelligencer. The publication chose the winners "based on the big victories and important cases that demonstrated why clients chose them when litigation was on the table." Stradley Ronon was praised for its "emphasis on efficiency" and ability to determine the issues most important to a client. To learn more about Stradley Ronon, their attorneys, and their various achievements, please visit Stradley Ronon's website:

Shustak Reynolds & Partners Recognized in Best Lawyers and San Diego Magazine

Posted on 2016-10-17

Shustak Reynolds & Partners PC is pleased to announce that several of our partners have received the following recognitions: Erwin Shustak was recently selected by his peers for inclusion in the 2017 edition of "The Best Lawyers in America" for his work in Financial Services Regulation Law. Jonah Toleno has been named a finalist for San Diego Magazine's 2016 Woman of the Year Awards. San Diego Magazine's Woman of the Year Award is given to one woman each year who has worked tirelessly to affect positive change and enhance the community. Jonah is an unabashed leader, champion of helping others, and widely respected by her peers for her measurable success in business and outstanding character. We congratulate Erwin and Jonah on the recognition of their hard work, dedication and commitment to our profession! To learn more about Mr. Shustak and Ms. Toleno and their various achievements, please visit Shustak Reynolds website:

Former Sutherland Asbill & Brennan Attorney Starts New Firm

Posted on 2016-08-11

Scott Holcomb and Bryan Ward are proud to announce the start of their new partnership: Holcomb + Ward LLP. Scott, Bryan and their associates offer effective, efficient representation for financial services litigation, FINRA arbitrations, internal investigations, and regulatory enforcement matters. To learn more about Mr. Ward and Mr. Holcomb and their various achievements, please visit Holcomb + Ward's website:

Erwin J. Shustak Named Top Rated Commercial/Corporate Lawyer

Posted on 2016-06-01

The results are in and Shustak Reynolds & Partners is pleased to announce that our partner Erwin J. Shustak, has been selected as the best Commercial/Corporate lawyer in San Diego, CA according to a reader poll by Fine Magazine. From our front office staff, to our attorneys and paralegals, we consistently strive to do our best for our clients every day, year in, year out. We are very proud and pleased that our partner and our firm, have been recognized for our efforts. Mr. Shustak is also an active securities arbitration attorney. To learn more about Mr. Shustak and this achievement, please visit Shustak Reynolds & Partners' website:

Erwin Shustak and George Miller named 2016 SuperLawyers

Posted on 2016-02-25

Shustak Reynolds & Partners is pleased to announce that partners Erwin Shustak and George Miller have been selected as SuperLawyers for 2016. Erwin was selected as a SuperLawyer for the 6th time and George as a Rising Star SuperLawyer for the second time. SuperLawyers selects attorneys using a multiphase selection process. Peer nominations and evaluations are combined with independent research. Each candidate is evaluated on 12 indicators of peer recognition and professional achievement. Selections are made on an annual, state-by-state basis. The final published list represents less than 5 percent of the lawyers in the state. The selection process for the Rising Stars is the same with one exception: Candidates must be under forty years of age. No more than 2.5% of attorneys in a state are selected to Rising Star status. The lists are published annually. Our firm was featured on the cover of this year's SuperLawyers edition. Congratulations Erwin and George! To learn more about these attorneys and their various achievements, please visit Shustak Reynolds & Partner's website:

Attorney Paul B. Uhlenhop Receives Hinchman Award for Financial Services Compliance

Posted on 2015-11-17

Chicago law firm Lawrence Kamin Saunders & Uhlenhop is pleased to announce that Senior Member Paul B. Uhlenhop was presented with the Joan Hinchman Award for outstanding service by the National Society of Compliance Professionals(NSCP). The Joan Hinchman Award was given to Mr. Uhlenhop by its namesake, Joan Hinchman, the twenty-five year former Executive Director of the NSCP, at the NSCP's National Conference in Washington, DC on November 3, 2015. In presenting this year's award to Mr. Uhlenhop, Ms. Hinchman acknowledged Mr. Uhlenhop's long service to the NSCP as an unrelenting advocate for the NSCP and the compliance industry. To learn more about Mr. Uhlenhop and his various achievements, along with information about his firm, please visit Lawrence Kamin Saunders & Uhlenhop's website:

Rich Intelisano & Katz Opens California Office

Posted on 2015-02-09

Rich Intelisano & Katz is pleased to announce the opening of their new office in Los Angeles, CA. The new office will be headed by Scott E. Rahn. The firm will continue to represent individual and institutional investors and employees in disputes within the financial industry and various areas of practice. To learn more about the firm, please visit Rich Intelisano & Katz's website:

Rothgerber Johnson & Lyons Mergers with Law Firm Lewis and Roca

Posted on 2013-08-28

William D. Nelson is pleased and excited to announce that Rothgerber Johnson & Lyons has decided to join forces with Phoenix-based Lewis and Roca. As of September 1, 2013, the firms will officially combine and become Lewis Roca Rothgerber LLP. According to the parties, this merger was in large part driven by clients repeatedly requesting help with new legal challenges across a broader geographic area. It allows the firm to do so with nine offices in six states - Arizona, California, Colorado, Nevada, New Mexico and Wyoming. Insofar as their securities and broker-dealer practices are concerned, Rothgerber Johnson & Lyons and Lewis and Roca have serviced many of the same clients and this consolidation will give the firm a larger geographic footprint with those clients and allows them to bring greater resources to bear. To learn more about this merger, please visit website:

Robert Wayne Pearce Named Florida SuperLawyer

Posted on 2014-10-16

Well-known Florida securities lawyer Robert W. Pearce, who has been representing clients in securities arbitration since before SRO Awards were made public and who has some 70 Awards to his credit on SACs Award Database, has been named a Florida SuperLawyer for the second year running. In addition, SuperLawyers Magazine has written a two-page spread in its July 2014 edition, honoring Mr. Pearce and relating his history as a lawyer representing securities investors. Some of his biggest victories in NASD/FINRA arbitration have involved large wirehouses and multi-million dollar recoveries. Mr. Pearce hails from Long Island, worked at the SEC early in his career, and has practiced securities law in Florida for more than 30 years. To learn more about Mr. Pearce, please visit Mr. Pearce's website:

Joshua D. Jones Named Co-Chair of the Securities Litigation Committee

Posted on 2014-08-27

Bressler Amery & Ross is pleased to announce that Joshua D. Jones has been named Co-Chair of the Securities Litigation Committee of the Section of Litigation of the American Bar Association (ABA). Mr. Jones is a member of the firm resident in the Birmingham, Alabama office, which was established in February of this year. Mr. Jones focuses his practice in the defense of brokerage firms and financial institutions in state and federal courts and arbitration proceedings around the county. He also represents companies and individuals in connection with criminal and regulatory investigations, including state and federal prosecutions as well as IRS, SEC and FINRA investigations. To learn more about Mr. Jones and his various achievements, please visit Bressler's website:

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