POSITION WANTED/OFFERED: Park Ratner PLC
Posted on 2009-10-07
Todd Ratner and Andrew Park of Park Ratner PLC located in Richmond, VA seek an attorney with at least four years securities arbitration experience to join their growing practice. For more information about us, please visit our website www.parkratner.com. Please direct all inquires to Todd Ratner at toddratner@parkratner.com or write to Park Ratner PLC 2310 W. Main St., Suite 1025, Richmond, VA 23220. Phone: 804-665-1040. Fax: 866-876-6700.
Day Edwards Propester & Christensen
Posted on 2009-05-28
Day Edwards Propester & Christensen, an AV-rated boutique securities and banking firm located in Oklahoma City, seeks a motivated attorney with 5 + years experience in securities arbitration and litigation, including trial and FINRA hearing experience. Travel required. The firm offers exceptional benefits and Oklahoma City offers an incredible quality of life not found in most cities. Salary commensurate with experience. Send salary requirements, resume and references to the attention of Tara LaClair, Day Edwards Propester & Christensen PC, 210 Park Avenue, 29th Floor, Oklahoma City, OK 73142.
PEOPLE: Hendrickson Law Firm gets New Attorney
Posted on 2010-02-12
The Hendrickson Law Firm is delighted to announce that Jason R. Brost has joined the firm as an associate. Mr. Brost joins Hendrickson from Latham Watkins LLP where he was involved in commercial disputes and regulatory inquiries and investigations. His practice focuses on a broad range of securities, contract and employment litigation. During law school, Mr. Brost was awarded a Public Interest Law Initiative Fellowship to the Cook County Office of the Public Guardian. Mr. Brost received his law degree, cum laude, from the University of Notre Dame, where he served as an Articles Editor for the Law Review. To learn more about Mr. Brost please write to or call: The Hendrickson Law Firm, 191 North Wacker Drive, Suite 2300, Chicago, IL. 60606. Phone: 312-332-0855.
Bingham Expands Securities Practice in D.C.
Posted on 2010-03-04
Bingham McCutchen LLP is pleased to announce that Lizzie Baird has joined the firm's Washington, DC office as partner in their Broker-Dealer Group. Formerly with O'Melveny & Myers, Ms. Baird brings to Bingham McCutchen her experience in securities enforcement and regulatory defense and also her knowledge in such areas as fixed-income, securities lending, trading and regulatory examinations and derivatives. With the addition of Ms. Baird, Bingham McCutchen continues to expand its market-leading securities team, as it maintains one of the country's leading securities practices. To learn more about Ms. Baird and her various achievements please visit Bingham's website: www.bingham.com
Attorney Jordan Kam has joined The Roth Law Firm
Posted on 2010-03-02
The Roth Law Firm PLLC is pleased to announce that Jordan Kam has become a partner with the firm. Mr. Kam will bring to The Roth Law Firm his knowledge in the securities industry and will continue to focus his practice on securities litigation/arbitration. To learn more about Mr. Kam, please call or visit: The Roth Law Firm PLLC, 295 Madison Ave., 22nd Floor, New York, NY. 10017. Phone: 212-542-8882. Fax: 212-542-8883. WebSite: www.rrothlaw.com
Barry Temkin joins Mound Cotton
Posted on 2010-02-03
Mound Cotton Wollan & Greengrass is pleased to announce that Barry Temkin joined the firm as counsel in 2009. Mr. Temkin brings to Mound Cotton his experience in securities arbitration, directors and officers defenses, legal malpractice, legal ethics, products liability and general commercial litigation. When he is not representing broker dealers and registered representatives in a variety of customer and industry arbitrations, Mr. Temkin serves as Chair of the New York County's Lawyer's Association Professional Ethics Committee and is an adjunct professor at Fordham University School of Law and New York Law School. To learn more about Mr. Temkin and his various achievements, please visit www.moundcotton.com To reach Mr. Temkin directly please write to or call: Mound Cotton Wollan & Greengrass One Battery Park Plaza, New York, NY. 10004. Phone: 212-804-4221. Email: btemkin@moundcotton.com
Winget Spadafora gets new Securities Litigation Attorney
Posted on 2010-02-04
Winget Spadafora & Schwartzberg LLP is pleased to announce that Brandon S. Reif has joined the firm as managing partner of the new Los Angeles office. Mr. Reif's practice concentrates on serving the securities, broker-dealer, financial services and professional liability industries. Some of Mr. Reif's many practice areas include securities litigation and arbitration, employment practice litigation and securities and regulatory enforcement, to name a few. Mr. Reif may be contacted at: Phone: 310-836-4800. Fax:310-836-4801. Email:reif.b@wssllp.com
Susan E. Harkins joins Michaels Ward & Rabinovitz
Posted on 2009-11-16
Michaels Ward & Rabinovitz is pleased to announce that Susan E. Harkins has joined the firm and assumed the role of Managing Partner at the Firm's New York City office. Ms. Harkins spent eleven years at Smith Barney, Harris, Upham & Co, Inc., defending the firm in securities litigation and arbitration matters throughout the country. In 2002, she moved to Merrill Lynch, Pierce, Fenner & Smith, Inc., where she served as the Divisional Counsel for the Mid-Atlantic and Southeast Divisions of the Firm's retail branch network. In 2008, she was named the deputy manager of Merrill Lynch's Core Litigation Group, which handled issues relating to margin and other asset-based lending products, fraud, theft, and other significant disputes. To contact and to learn more about Ms. Harkins, please write to or call: Michaels Ward & Rabinovitz 445 Park Ave., Tenth Floor, New York, NY. 10022. Phone: 212-541-3780. WebSite: www.michaelsward.com
Burt Wiand Opens New Law Firm
Posted on 2009-11-13
Wiand Guerra King PL is pleased to announce its formation and the opening of its new office in Tampa, FL. The firm's founding partners, Burt Wiand, George Guerra, Peter King, Kacy Donlon, Gianluca Morello, Elaine Rice and Michael Lamont will continue to represent clients in connection with complex business litigation, regulatory matters and white collar matters. A major focus of the firm's practice will be financial services and securities and other investment-related litigation. For further information and to contact Wiand Guerra King PL please write to or call: 3000 Bayport Drive, Suite 600, Tampa, FL. 33607. Phone: 813-347-5100. Email: www.wiandlaw.com
Matthew D. Stratton joins Bressler Amery
Posted on 2009-09-15
Bressler Amery & Ross PC is proud to announce that Matthew D. Stratton has joined the firm's New York City office. Formerly with the firm Morgan Lewis & Bockius LLP where he served as an associate in the Securities Litigation practice group from 2005 to 2009, Mr. Stratton joins Bressler Amery as an associate in their Securities Law practice group. Mr. Stratton focuses his practice on representing brokerage firms and other financial industry clients in regulatory enforcement, arbitration, and litigation matters. To contact or learn more about Mr. Stratton, please write to or call: 17 State St., 34th Floor, New York, NY. 10004. Phone: 212-510-6908. Fax: 212-425-9337. Email: mstratton@bressler.com
Carlos Ricca joins Davidson & Grannum
Posted on 2009-09-25
Former Senior Vice President and Senior Litigation Counsel for Wachovia Securities LLC and former Assistant District Attorney in New York County,Carlos Ricca has joined law firm Davidson & Grannum LLP. Mr. Ricca brings to Davidson & Grannum his broad experience in securities related litigations, arbitrations, regulatory investigations, compliance issues, employment disputes, international issues and criminal investigations. Mr. Ricca will be working in the firm's Orangeburg, NY office. To contact Mr. Ricca please write or call: Davidson & Grannum 30 Ramland Road, Suite 201, Orangeburg, NY. 10962. Phone: 845-667-5180. Fax: 845-365-9190. Email: cricca@davidsiongrannum.com
Greenberg Traurig Expands its Orange County Office with the Addition of Securities Lawyer, Michael Piazza
Posted on 2009-09-14
Greenberg Traurig LLP is pleased to announce that Michael Piazza, a former Regional Trial Counsel for the Los Angeles office of the United States Securities and Exchange Commission (SEC), has joined the firm's Orange County office. Formerly a partner with Dorsey & Whitney's trial, regulatory and technology practice group and co-chair of that firm's securities litigation and enforcement practice, Mr. Piazza brings to Greenberg Traurig his expertise in the areas of securities, intellectual property, and complex commercial litigation. With the addition of Mr. Piazza to the firm's Southern California office, Greenberg Traurig has "enhanced their national reach from coast to coast to provide seamless service throughout the country to their clients," as quoted by shareholder and co-chair of the firm's securities litigation practice group, Bradford D. Kaufman. To contact Mr. Piazza please write to or call: Greenberg Traurig LLP 3161 Michelson Drive, Suite 1000, Irvine, CA. 92612 Phone: 949-732-6568. Fax: 949-732-6501. Email: piazzam@gtlaw.com
Fowler White Boggs gets a new attorney
Posted on 2009-10-09
Fowler White Boggs is pleased to announce that Robert Jamieson has joined the firm as an associate in the Securities, Financial Services and White Collar Practice Group. Mr. Jamieson will represent brokerage firms, financial institutions, corporations and their associated persons in arbitration, litigation in state and federal courts and in investigations and proceedings before state and federal regulatory agencies and self-regulatory organizations. Mr. Jamieson will be practicing in Fowler White's Tampa office. To contact Mr. Jamieson, please call or write to: Fowler White Boggs 501 R. Kennedy Blvd. Suite 1700, Tampa, FL. 33692. Phone: 813-228-7411.
Greenberg Traurig Expands Litigation Practice with Addition of Joseph A. Vallo
Posted on 2009-09-25
Greenberg Traurig LLP is pleased to announce that Joseph A. Vallo, the former Senior Vice President and Senior Litigation Counsel of Wachovia Securities LLC/Wells Fargo Advisors LLC, has joined the firm's New York and White Plains, NY offices as an of counsel. Prior to serving at Wachovia Securities, Mr. Vallo was the Senior Vice President and Director of Compliance for TD Waterhouse Group Inc. and the Divisional Compliance Director and Director of International Private Client Group Compliance at Salomon Smith Barney Inc. Mr. Vallo joins Greenberg Traurig with wide-ranging experience in retail brokerage compliance in domestic and international markets and expertise in securities arbitration and mediation and securities litigation. The addition of Mr. Vallo to the firm's New York and White Plains, NY offices enables Greenberg Traurig to "position themselves as leaders in the field and enables them to serve their clients in the Westchester area who are facing increased regulation in the securities litigation arena," says Alan Mansfield, Chairman of the New York Litigation Practice. To contact Mr. Vallo please write or call: Greenberg Traurig LLP 200 Park Ave. New York, NY. 10166. Phone: 212-801-6930. Fax: 212-801-6400. Email:valloj@gtlaw.com
Matthew W. Woodruff and Diane Mall Sammarco join Rich & Intelisano
Posted on 2009-10-08
Rich & Intelisano LLP is pleased to announce that Matthew W. Woodruff and Diane Mall Sammarco have joined the firm as Of Counsel. Mr. Woodruff previously was Of Counsel at Eppenstein & Eppenstein where he tried large and complex securities and commodities fraud arbitrations on behalf of investors. Ms. Sammarco was previously an associate at Pressman & Trien where she handled securities and employment arbitration matters. Both Mr. Woodruff and Ms. Sammarco will focus on the Firm's practice of representing high net worth individual and institutional investors in disputes with the investment industry and representing employees in disputes with financial firms. To contact Mr. Woodruff and Ms. Sammarco please call or write to Rich & Intelisano 111 Broadway, Suite 1303, New York, NY. 10006. Phone: 212-433-1480. Fax: 212-433-1481. Email: matthew@richintelisano.com and diane@richintelisano.com
McDermott Will & Emery hires top energy and regulatory compliance analyst Deanna L. Newcomb
Posted on 2009-09-15
McDermott Will & Emery LLP is proud to announce that Deanna L. Newcomb has joined the firm's Houston office as an energy and derivatives market analyst, as part of their Energy & Derivatives Markets Practice Group. With more than 17 years of experience in senior compliance and finance roles at several leading energy and energy-trading companies, Ms. Newcomb will advise clients in connection with energy and commodity trading regulatory compliance matters, government investigations and regulatory audits. In addition to developing and implementing commodity trading compliance programs and conducting training for traders, Ms. Newcomb will help energy industry clients deal with a stricter regulatory environment. Mr. Paul Pantano, head of McDermott Will's Energy & Derivatives Markets Practice Group, said of Ms. Newcomb, "her real-world energy industry compliance experience will help the firm to provide energy and commodity business with practical and effective guidance about how to comply with increasingly complex and demanding regulatory regimes." Prior to joining McDermott Will, Ms. Newcomb previously served as vice president/compliance for Bank of America/Merrill Lynch Commodities Inc. where she headed all aspects of the commodities program. To contact Ms. Newcomb please write to or call: McDermott Will & Emery LLP 1000 Louisiana St., Suite 3900, Houston, TX. 77002. Phone: 713-653-1757. Fax: 713-739-7592.
James C. Browning, Jr. accepts position with Stifel Nicolaus
Posted on 2009-08-21
James C. Browning,Jr. has accepted a position as Deputy General Counsel with Stifel Nicolaus & Company Inc. in their St. Louis, MO. office. Mr. Browning previously represented Wells Fargo Advisors (formerly Wachovia Securities and, before that, AG Edwards & Sons Inc.) as in-house counsel. Mr. Browning began his career with the law firm Blackwell Sanders Peper Martin in St. Louis. To contact Mr. Browning please write to or call: Stifel Nicolaus, One Financial Plaza, 501 North Broadway, St. Louis, MO. Phone: 314-342-2118. Fax: 314-342-2850. Email: BrowningJC@Stifel.com
Shustak Frost & Partners expands their firm with the addition of three new attorneys
Posted on 2009-08-21
Shustak Frost & Partners is pleased to announce the addition of three new attorneys: Joseph M. Parker, Phil Khan and Dan Cross. Mr. Parker, who is a senior partner at the firm's San Diego office, specializes in complex business, real estate and labor/employment litigation. Mr. Parker's litigation experience covers a wide range including business torts, corporate partnerships/LLC litigation and defense of employment-related suits. Mr. Khan, who is a partner at the firm's New York office, specializes in corporate and securities transactions and litigations. Mr. Khan's broad experience includes mergers and acquisitions, real estate acquisitions, sales and joint ventures, private placements, private equity transactions and a wide variety of asset, stock and merger transactions. Mr. Cross, who serves as Of Counsel to the firm's San Diego office, areas of expertise include management and shareholder agreements, distribution of supply, licensing and a wide variety of corporate and business transactions. Mr. Cross also represents companies from start-ups through capitalization and financing, joint ventures and placement of exempt securities. For more information about these and other attorneys at Shustak Frost & Partners please visit their website www.shufirm.com
Mark D. Knoll joins Bressler Amery & Ross
Posted on 2009-08-04
Bressler Amery & Ross is proud to announce that Mark D. Knoll joins the firm as counsel. Prior to joining Bressler, Mr. Knoll served as Director and Counsel to the Regional Head of Compliance for the Americas at Credit Suisse Securities (USA) LLC. He will continue his practice in the firm's Securities' Law practice group. Mr. Knoll's primary office is located in New York, New York.
Joel P. Laitman and Christopher Lometti join Cohen Milstein Sellers & Toll PLLC
Posted on 2009-05-28
Cohen Milstein Sellers & Toll PLLC is pleased to announce the addition of two leading securities attorneys, Joel P. Laitman and Christopher Lometti. Mr. Laitman boasts over two decades of experience specializing in federal securities class action litigation and was named partner at Schoengold Sporn Laitman & Lometti in New York, where he practiced since 1992. Mr. Lometti joins Cohen Milstein after more than 20 years of experience in commercial and securities litigation. Mr. Lometti was also most recently named partner at Schoengold Sporn Laitman & Lometti, where he had practiced since 1996. He has served as an arbitrator for the NASD and NYSE since 1991. Both attorneys will be practicing in Cohen Milstein’s New York office.
Julie Thrall Burrow joins Hendrickson Law Firm
Posted on 2009-06-02
Hendrickson Law Firm is delighted to welcome Julie Thrall Burrow, an accomplished litigation and arbitration attorney, as senior counsel to their firm. Julie joins us from Troutman Sanders LLP, where her practice focused on securities, consumer law and employment litigation. For the most of her twelve year career, Julie has represented clients in commercial disputes and regulatory inquiries and investigations. Her practice focuses on securities and consumer law issues, particularly the defense of corporations against state and federal securities claims as well as FINRA arbitrations. Additionally, Julie possesses significant employment related legal experience representing clients in wrongful termination, breach of contract and non-competition agreement disputes as well as whistle-blowing litigation. Julie received both her law degree and undergraduate degree from the University of Washington. Address: 191 North Wacker Drive, Suite 2300, Chicago, IL 60606. Tel: 312-332-0855. WebSite: www.hendricksonlawfirm.com.
RELOCATIONS/NAME CHANGES: The Roth Law Firm has Relocated
Posted on 2010-03-02
The Roth Law Firm PLLC has relocated to 295 Madison Ave., 22nd Floor, New York, NY 10017. To Contact The Roth Law Firm please call or visit: Phone: 212-542-8882. Fax: 212-542-8883. WebSite: www.rrothlaw.com
Stein & Stein PA Relocate
Posted on 2009-10-07
Jack Stein and Craig D. Stein are pleased to announce that The Law Offices of Stein & Stein PA has relocated to 205 Worth Avenue, Suite 203, Palm Beach, FL. 33480. To Contact The Law Offices of Stein & Stein PA please call or visit: Phone: 561-659-8802. Fax: 561-659-8806. Email: www.steinsteinlaw.com
Stueve Siegel Hanson LLP opens new office
Posted on 2009-10-07
Stueve Siegel Hanson LLP are pleased to announce the grand opening of their new office in San Diego located at 550 West C. Street, Suite 610, San Diego, CA.92101. For further information or to contact Stueve Siegel Hanson LLP please call or visit: Phone: 619-400-5822. Fax: 619-400-5832. Email: www.stuevesiegel.com
Resolution Law Group PC gets a new name
Posted on 2009-08-04
Resolution Law Group PC is pleased to announce that it has changed its name to Hunsucker Goodstein & Nelson PC. Shareholders Bob Gonser and Brian Zagon continue to represent public investors with claims against broker-dealers and investment advisors.
ANNOUNCEMENTS: Certified Regulatory Compliance Professional seeks Position with Compliance Contractor/ Firm
Posted on 2010-01-25
Frank Keane, a principal of Eagle Compliance LLC seeks affiliation with an independent Compliance contract/firm. Mr. Keane is a FINRA Institute at Wharton program graduate and a certified regulatory compliance professional with 30 plus years of capital markets trading and risk management experience in Treasury and Federal Agency debt, callable bonds, interest rate swaps and mortgage related securities. Mr. Keane's other qualifications include a balance of participation in market activity and academic training and experience in case work with legal counsel on debt related cases. Mr. Keane is also a former Managing Director at Banc of America Securities and Director at Merrill Lynch GSI who is interested in additional opportunities. Resume and references available upon request. E-Mail: fxk23@.com
Gelb & Gelb Publication on Mass. E-Discovery
Posted on 2009-05-28
Gelb & Gelb is pleased to announce the publication by Massachusetts Continuing Legal Education Inc. of Daniel K. Gelb and Richard M. Gelb’s book "Massachusetts E-Discovery & Evidence: Preservation through Trial", which MCLE describes as “the definitive guide to e-discovery in Massachusetts. In connection with the book’s publication, Daniel and Richard will chair and Stephanie Tzouganatos will be a faculty member of MCLE’s seminars in Boston and Springfield entitled Electronic Discovery & Evidence.
