SAC Bulletin Board

PEOPLE: Jordan D. Maglich Joins Quarles & Brady

Posted on 2019-04-18

Quarles & Brady is pleased to announce that Jordan D. Maglich has joined the firm's Tampa, FL office. Mr. Maglich is a member of the Litigation and Dispute Resolution Practice Group where his practice focuses on commercial litigation, securities and financial services, and regulatory matters. Mr. Maglich regularly practices in arbitration forums and state, federal, and bankruptcy courts in matters involving a wide variety of civil disputes and other business-related litigation. Jordan also regularly represents securities broker/dealers, investment advisors, and their associated persons in federal and state court and in arbitration. In addition to handling disputes brought by former customers or associated persons, Jordan has also obtained various affirmative relief for financial services firms including injunctive relief to prevent non-customers from proceeding in arbitral forums as well as the recovery of transition and incentive payments to departed registered representatives. To learn more about Mr. Maglich and his various achievements, please visit Quarles & Brady's website:

Bates Group Welcomes New Director Rory O'Connor

Posted on 2019-04-04

Bates Group is proud to welcome Rory P. O'Connor as a Director of Business Development. In his new role, Mr. O’Connor will be responsible for executing Bates Group’s sales strategy to maximize its visibility in the financial services space. Mr. O’Connor has more than 26 years of experience in Regulatory Compliance Services, having started working at a national compliance services company in 1992 and having most recently served as Director of Sales. He brings to the Bates team his extensive knowledge of the regulatory and compliance consulting services area as well as the industry as a whole. As Director of Business Development, Mr. O’Connor will help increase Bates Group’s national presence through partnerships with state- and SEC-registered firms. He will also be instrumental in leading the firm's client-centric service experience and fostering the company's continued growth. To learn more about Mr. O'Connor and his various achievements, please visit Bates Group's website:

Industry Pro Stacie Hartman Joins Steptoe's Financial Services Practice as Co-Chair

Posted on 2019-04-04

Steptoe & Johnson LLP is pleased to announce that Stacie R. Hartman, an accomplished regulatory enforcement lawyer and first-chair litigator, has joined the firm as co-chair of its Financial Services Group. She will reside in the Chicago, IL office and will also maintain a New York office. Ms. Hartman focuses her practice on financial services litigation and enforcement. She has represented clients in court as well as enforcement proceedings before the Commodity Futures Trading Commission (CFTC), Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority, National Futures Association, and financial exchanges, and in investigations by the Department of Justice. To learn more about Ms. Hartman and her various achievements, please visit Steptoe & Johnson's website:

Pierce Bainbridge Adds Partners Joan E. Meyer In DC and Michael S. Winograd In NY

Posted on 2019-04-04

Pierce Bainbridge Beck Price & Hecht LLP, has continued its rapid growth, adding as partners seasoned white-collar and investigations litigator, Joan Meyer to its Washington, DC office, and distinguished commercial, securities, and complex litigator, Michael Winograd to its New York, NY office. Ms. Meyer joins Pierce Bainbridge from Baker McKenzie, where she served as Practice Chair of the Compliance & Investigations Group and the DC Office Litigation Chair. Her practice focuses on domestic and international white-collar defense for companies involving anti-corruption, financial frauds, government contracting, securities and commodities violations and trade compliance matters. Mr. Winograd spent the first two decades of his career as a litigator at some of the nation's leading firms, including Wachtell, Lipton, Rosen & Katz and Sullivan & Cromwell LLP, and, most recently, Ropes & Gray LLP. His practice includes a broad range of commercial, securities, bankruptcy, and other complex civil litigation, as well as regulatory proceedings and internal investigations. He has litigated in federal and state courts throughout the United States and before domestic and foreign arbitration panels and regulatory agencies. Mr. Winograd also routinely counsels entities and their boards on strategy and risks in connection with potential disputes. He has been an adjunct professor of law at the Fordham University School of Law since 2003, where he teaches Legal Writing and Research for LL.M. students. To learn more about Ms. Meyer and Mr. Winograd and their various achievements, please visit Pierce Bainbridge's website:

Terry R. Weiss Joins DLA Piper's Litigation Practice in Atlanta

Posted on 2019-02-15

DLA Piper (US) LLP is pleased to announce that Terry Weiss has joined the firm's Litigation Practice as partner in Atlanta, GA. Mr. Weiss represents financial institutions, including broker-dealers, investment advisors and securities industry professionals, in regulatory and enforcement matters, civil litigation and arbitrations and internal investigations. In the enforcement arena, he defends cases before securities industry regulators, including the SEC, FINRA and various state regulators. He also leads internal investigations linked to enforcement matters or litigation. As a seasoned securities litigator with decades of experience in the securities industry, including first-chairing a number of trials and arbitrations, Mr. Weiss adds significant capabilities and depth of experience to the Litigation practice. To learn more about Mr. Weiss and his various achievements, please visit DLA Piper's website:

Orrick Herrington & Sutcliffe Promotes 2 Attorneys to Partner in its Complex Litigation Practice Group

Posted on 2019-02-15

Orrick Herrington & Sutcliffe is pleased to announce that David Fuad and Tom Kidera have been promoted to partners in the firm's Complex Litigation Practice. Mr. Fuad is a member of the firm’s Complex Litigation & Dispute Resolution practice, based in Los Angeles, CA. He advises a range of clients, particularly in the tech, manufacturing and real estate industries, on complex litigation matters, such as breach of contract, employment disputes, class actions, product liability and trade secrets. David has tried cases in state and federal courts and conducted arbitrations. Mr. Kidera is a member of the firm’s Complex Litigation & Dispute Resolution Group, based in New York, NY. He advises clients on complex commercial litigation, internal investigations and regulatory enforcement actions. Tom has significant experience in RMBS-related litigation representing both issuers and mortgage loan servicers, and he has represented the Big Four auditing firms in civil litigation and regulatory enforcement proceedings. To learn more about these attorneys and their various achievements, please visit Orrick's website:

Bates Group Welcomes New Expert and Consultant Sheila Murphy

Posted on 2019-02-15

Bates Group is proud to welcome Sheila Murphy as a new Expert and Consultant. Ms. Murphy brings over 30 years of legal, insurance, regulatory and retail litigation experience. Prior to joining Bates, Ms. Murphy served MetLife in various legal roles. Most recently, as Senior Vice President and Associate General Counsel, Ms. Murphy led the Regulatory and Retail Litigation Unit, which provided strategic advice on litigation and regulatory matters for MetLife's U.S. insurance and financial products businesses. Her team counseled on broker-dealer, compliance and public policy issues as well as advised on litigation and regulatory matters. Additionally, she headed multi-disciplined task forces on issues relating to risk mitigation; developed and implemented recommendations to enhance compliance policies, procedures, and metrics in tandem with key stakeholders. To learn more about Ms. Murphy and her various achievements, please visit Bates Group's website:

Bates Group Welcomes New Forensic Accounting Services Team

Posted on 2019-01-11

Bates Group is pleased to announce that Christine Davis has joined the group as Director of Forensic Accounting and Financial Crimes. Based in Bates Group’s new San Francisco office, Christine has over twenty-six years of forensic accounting, audit, tax and dispute consulting experience. In addition to being a Certified Public Accountant in California and New York, she is a Certified Valuation Analyst and holds the Certified in Financial Forensics credential issued by the American Institute of Certified Public Accountants. She also holds an arbitrator certificate. Christine is frequently retained as a consulting and testifying expert for complex commercial litigation and regulatory matters and as a forensic accountant for fraud or accounting investigations. As a financial, accounting or damages expert, she assists in all phases of litigation by providing calculations, analytical insight, discovery assistance, and expert testimony by deposition, in arbitrations and at trial in federal and state courts. Joining Christine in Bates Group’s San Francisco office is her long-time colleague, Managing Consultant Leonore Ralston. Leonore Ralston is Managing Consultant of Forensic Accounting in Bates Group’s Financial Crimes practice, where she provides support to complex litigation matters and fraud investigations. Based in San Francisco, Lenore performs detailed analyses of financial evidence for various matters, including alleged FLSA and California wage-and-hour violations, breach of contract claims, lost profits and lost earnings claims, securities litigation, and fraud investigation and prevention. She has worked as both a consulting and testifying expert, and has led fraud investigations resulting in federal prosecution. To learn more about these ladies and their various achievements, please visit Bates Group's website:

Quarles & Brady Adds Mark A. Kornfeld as Partner in its Litigation & Dispute Resolution Practice Group

Posted on 2019-01-11

Quarles & Brady is pleased to announce that Mark A. Kornfeld has joined the firm’s Litigation & Dispute Resolution Practice Group as a Partner in its Tampa office. Mr. Kornfeld is a commercial litigator with nearly 25 years of success in securities litigation, regulatory enforcement actions and complex commercial litigation, arbitration and mediation both domestically and internationally. He is viewed by clients as a trusted dispute resolution authority who advises, manages and counsels them in managing litigation and business risk. He counsels clients of all sizes from many industries including broker dealers, investment bankers, money managers, hedge funds, media properties, construction, development and real estate management companies, as well as startups. To learn more about Mark A. Kornfeld and his various achievements, please visit Quarles & Brady's website:

Akerman Attracts Former CFPB and JP Morgan Chase Bank NA Executives

Posted on 2019-01-11

Akerman LLP is pleased to announce that it has grown its Financial Services Practice Group in New York, NY and Washington, DC with the addition of attorneys Eric Goldberg and Erica Stein. Mr. Goldberg joins the firm from the Consumer Financial Protection Bureau and Ms. Stein joins the firm from JPMorgan Chase Bank NA. Mr. Goldberg advises clients on a range of consumer financial services issues primarily relating to payments and fintech. His work focuses on both legacy payment systems such as debit and credit cards and emerging technologies such as mobile payments and prepaid cards. Prior to joining Akerman, Mr. Goldberg was Managing Counsel for Regulations at the Consumer Financial Protection Bureau, where he led the agency’s payments regulatory work. Ms. Stein has extensive experience as in-house counsel at JPMorgan Chase Bank NA and previously with Akerman, defending a wide variety of financial services litigation, from individual disputes to class actions, in state and federal courts nationwide. She regulatory defends financial services providers from claims (high volume to high stakes) brought pursuant to RESPA, TILA, FCRA, FDCPA and TCPA. To learn more about these new additions and their various achievements, please visit Akerman's website:

Bates Group Four New Experts and Consultants

Posted on 2018-11-21

Bates Group is proud to Bates is proud to introduce four new experts and consultants: Jonathan A. Brogaard, Robert B. Spawn, Steven Sutherland, and Steven Valji. Mr. Jonathan Brogaard, Ph.D. is a Bates Group consultant and expert with extensive expertise in U.S. and international financial markets, with a focus on algorithmic and high frequency trading. His research interests include Market Microstructure, Information, Liquidity, and Market Design. Mr. Robert Spawn is a Bates Group affiliate expert who uses his 35+ years of financial industry experience to assist clients in matters concerning Employment, Supervision, Suitability, and Branch Management. He has held Retail Wealth Management positions at major financial institutions throughout the United States, including Merrill Lynch, Oppenheimer, UBS, RBC, and JP Morgan. Mr. Spawn has been a FINRA arbitrator since 2010. Mr. Steve Sutherland is a Bates Group consultant and expert with 28 years of financial industry experience as a financial advisor, controller, auditor and business owner. As a CPA and CFP® (certified financial planner), Mr. Sutherland has hands-on knowledge of investment advisory, 40 Act funds, IRAs and retirement plans, insurance/annuities, tax and estate planning. Mr. Steven Valji is a Bates Group affiliate expert with extensive knowledge and experience in derivatives trading and risk. His expertise includes exchange traded derivative markets, options market making and electronic trading, options pricing models, commodities futures trading, portfolio hedging and market structure. Before becoming an expert witness and consultant, Mr. Valji was a trader with Tullett Prebon Americas Corp./Bridgeton Research Group, a cross-asset derivatives group providing industry research as well as futures and options execution. As a member of ICE, Mr. Valji played an active role in self-regulatory activities of the exchange as options floor committee chairman and a member of the settlement committee. To learn more about these experts and consultants and their various achievements, please visit Bates Group's website:

Former Bank of America/Merrill Lynch Attorney Opens Up New Law Practice

Posted on 2018-09-28

Jonathan Brennan is pleased to announce the launch of Jonathan Brennan PLLC, a boutique litigation firm with a focus on wealth management litigation. With over 20 years of experience, Mr. Brennan's goal is to provide advice that is timely, well-informed, and above all useful. As former Head of Wealth Management Litigation for Bank of America/Merrill Lynch, and hopes to bring his experience, energy, and unique perspective to resolving all of his clients legal issues. Jonathan Brennan PLLC aims to combine the high-quality work product of a large law firm with the lower cost structure and personal touch of a small firm. To learn more about Jonathan Brennan and his various achievements, please visit Jonathan Brennan PLLC's website:

Bass Berry Sims Welcomes Securities Enforcement and Financial Investigations Attorney Michael J. Rivera

Posted on 2018-09-28

Bass Berry & Sims is pleased to announce that Michael J. Rivera has joined the firm's Washington, DC office as a member in the Compliance & Government Investigation Practice Group. His hire marks the continued and noteworthy growth in the firm's D.C. office. Mr. Rivera brings more than two decades of experience representing businesses and individuals in securities enforcement proceedings and internal investigations. He offers clients an enforcement-side perspective drawn from his previous roles in the federal government conducting securities and financial investigations. Mr. Rivera represents broker-dealers, investment advisors, investment funds, financial institutions, public companies and individuals in proceedings involving the Securities Exchange Commission (SEC), Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC), Public Company Accounting Oversight Board (PCAOB), Consumer Financial Protection Bureau (CFPB), stock exchanges, and inspectors general offices. To learn more about Michael J. Rivera and his various achievements, please visit Bass Berry Sims' website:

Litigation Attorneys Pete S. Michaels and David L. Ward Join Mintz Levin

Posted on 2018-08-17

Mintz Levin Cohn Ferris Glovsky & Popeo PC are pleased to welcome Pete S. Michaels and David L. Ward as Members in their Litigation Practice. Mr. Michaels and Mr. Ward are based in the firm's Boston, MA office and serve the firm's growing roster of Financial Services clients, handling complex securities litigation, regulatory proceedings, and employment matters. Mr. Michaels has more than 25 years of experience in handling securities disputes in state and federal courts and arbitration venues. In addition, Pete represents clients before the Securities and Exchange Commission, US Department of Justice, Financial Industry Regulatory Authority, financial exchanges, and state securities regulators throughout the country. Mr. Ward regularly guides financial services clients through federal and state regulatory matters before the SEC, DOJ, FINRA, and other agencies. He has also litigated hundreds of employment cases across the country on behalf of companies, directors, and officers, including disputes concerning recruiting and “raiding” matters, compensation and separation agreements, and wrongful termination and discrimination claims. Mr. Michaels and Mr. Ward both lead internal investigations for clients, and each has served as an independent compliance consultant on Massachusetts Securities Division matters. To learn more about Peter S. Michaels and David L. Ward and their various achievements, please visit Mintz Levin's website:

Matthew J. Mueller Named Shareholder at Wiand Guerra King

Posted on 2018-08-17

Wiand Guerra King is pleased to announce that Matthew J. Mueller has been named a shareholder of the Firm. Since joining the firm in 2015, Mr. Mueller has led the development of Wiand Guerra King's White Collar and Criminal Tax Defense practices. Mr. Mueller focuses his practice on white collar defense, including civil and criminal tax, securities, regulatory enforcement actions, grand jury investigations and civil litigation. He has presented to the American Bar Association's Section of Taxation and Business Law Section, the Hillsborough County Bar Association, the Florida Bar Tax Section and the Tampa Bay Chapter of the Federal Bar Association on topics such as criminal tax fraud and evasion securities fraud, and the federal sentencing guidelines. To learn more about Matthew J. Mueller and his various achievements, please visit Wiand Guerra King's website:

Experienced Experienced securities and investment law attorneys Jason Haselkorn and Matthew Thibaut launch a nationwide law practice based in the heart of Palm Beach, Florida

Posted on 2018-08-17

Respected securities attorneys Jason Haselkorn and Matthew Thibaut are pleased to announce the opening of their new law firm, Haselkorn & Thibaut P.A., d/b/a The Investment Loss Recovery Group, specializing in helping investors (individuals, charities, trusts, pension funds, etc.) recover their losses due to stockbroker and financial advisor negligence or misconduct.The firm handles a wide range of investment-related claims, including:Securities Fraud; Stockbroker Negligence; FINRA Arbitration; Elder Exploitation; Churning and Excessive Trading; Misrepresentation or Omission; Overconcentration; and Unsuitable Investments. As a resource to investors, the firm is also launching a new website: The site features important information about the law firm's practice areas, specific warning signs for investors, the latest financial services news, and updates on the types of issues and misconduct currently taking place in the financial services industry. To learn more about Jason Haskelkorn and Matthew Thibaut and their various achievements, please visit their firm's website:

Bates Group Welcomes Former Wells Fargo Attorney Clay Grumke to its List of Experts

Posted on 2018-06-27

Bates Group is proud to welcome Clay Grumke, our newest litigation, regulatory and internal investigations consultant expert. Mr. Grumke is based in St. Louis, MO, having begun his legal career with the St. Louis Circuit Attorney's Office, prosecuting criminal cases and trying 40 jury trials to verdict. Mr. Grumke joins Bates Group after 26 years directing legal departments at A.G. Edwards, Wachovia, and Wells Fargo. He has handled hundreds of internal investigations, regulatory and litigation matters. As Assistant General Counsel at Wells Fargo, Mr. Grumke was responsible for all litigation and regulatory matters for the Wealth and Investment Management Division, which included Wells Fargo Advisors, Trust, and Retirement Services. His team was in charge of regulatory inquiries, investigations and enforcement matters from the SEC, FINRA, OCC, FED, CFTC, and U.S. states and territories. To learn more about Mr. Grumke and his various achievements, please visit Bates Group's website:

Wiand Guerra King Welcomes New Associates

Posted on 2018-06-27

Wiand Guerra King PA is pleased to introduce their newest colleagues, Trisha Cram and Kris Galloway. Ms. Cram joined the firm in May 2017 as a Senior Regulatory Compliance Officer focusing on assisting broker-dealers, investment advisors and their associated persons in mitigating litigation and regulatory risks. As an Associate, Ms. Cram will continue to focus her efforts on addressing the compliance challenges faced by the firm's clients and will support our litigation engagements. Ms. Cram brings over seventeen years in the financial services industry, including as Chief Compliance Officer for Transamerica Financial Advisors, Inc., J.W. Cole Financial, Inc., and J.W. Cole Advisors, Inc. Mr. Galloway joined the firm in Spring 2017 while he was also attending classes at Stetson Law, and continued with Wiand Guerra King through the summer assisting with complex commercial disputes and regulatory matters, focusing on securities and financial services litigation and arbitration. In his prior lives, Mr. Galloway served six years in the United States Air Force, followed by ten years in the financial services industry with companies such as Edward Jones, Charles Schwab, and Raymond James, during which he worked in various capacities including both production and compliance. To learn more about Trisha and Kris, and their various achievements, please visit Wiand Guerra King's website:

PACE University Appoints Jill Gross as Associate Dean for Academic Affairs

Posted on 2018-06-27

Pace University is pleased to announce that Professor Jill Gross has been appointed as Associate Dean for Academic Affairs at Pace University's Elisabeth Haub School of Law. Professor Jill I. Gross is a nationally known expert in the field of securities dispute resolution, and teaches courses in the areas of dispute resolution, ethics, securities law and lawyering skills. She was the James D. Hopkins Professor of Law, a two-year rotating endowed Chair, from 2013-2015, Director of the Investor Rights Clinic from 1999-2015, and Director of Legal Skills Programs from 2010-2015. She also has taught at Cornell Law School, UNLV’s Boyd School of Law and Benjamin N. Cardozo School of Law. She is an author of the preeminent hornbook, Broker-Dealer Law and Regulation, has published dozens of book chapters and articles on the negotiation, mediation and arbitration of securities and other commercial disputes, and is a Senior Contributing Editor to the Securities Online Litigation Alert. She has chaired the AALS Section of Dispute Resolution, the Securities ADR Committee of the ABA Section of Dispute Resolution and the Practising Law Institute’s annual Securities Arbitration program. She is an arbitrator for the American Arbitration Association, FINRA’s Office of Dispute Resolution, and the National Futures Association, and a member of the Securities Experts Roundtable. To learn more about Professor Gross and her other various achievements, please visit Pace University's website:

Senior SEC Trial Lawyer Michael Birnbaum Joins Morrison & Foerster

Posted on 2018-06-27

Morrison & Foerster a leading global law firm, is pleased to announce that Michael D. Birnbaum has joined the firm’s Securities Litigation, Enforcement and White-Collar Defense Practice Group (SLEW) as a partner in New York, NY. Coming from the U.S. Securities and Exchange Commission (SEC), Mr. Birnbaum follows numerous other senior government officials who have joined Morrison & Foerster over recent years. He will represent financial institutions, corporations, and individuals in regulatory enforcement proceedings, internal and government investigations, and civil securities litigation. Mr. Birnbaum spent the last 11 years at the SEC, most recently as Senior Trial Counsel. He previously spent eight years in private practice. To learn more about Mr. Birnbaum and his various achievements, please visit Morrison & Foerster's website:

Bates Welcomes New Experts & Consultants

Posted on 2018-05-09

Bates Group is proud to introduce our new experts and consultants: Michael Conn, William Freebing, Michael Putetti and Arthur Sims. Mr. Michael Conn is a Bates Group affiliate expert with over 35 years of professional financial services experience. His extensive and diverse background in the retail brokerage, private banking and professional sales training and development arenas allow him to offer clients a unique perspective of the industry, having viewed it through a variety of lenses. Mr. Conn’s areas of expertise include practice management, organizational training, recruiting, sales supervision and client interaction. Mr. William T. Freebing is a Bates Group financial services expert with proficient experience across client retail service environments. Combining strategic and tactical expertise in sales, marketing, market planning, branch operations, supervision and training, Mr. Freebing uses his more than 25 years of branch management and business development experience to provide services for Bates group’s clients and their counsel. For almost a decade, Mr. Freebing served in various positions at UBS Financial Services, Inc. Prior to joining UBS, he was Business Development Director at Legacy Wealth Management and a Branch Manager at Fidelity Investments. A FINRA arbitrator, Mr. Freebing holds a certificate in Financial Planning as well as securities licenses. Mr. Michael Putetti is a senior labor and employment attorney with 35 years of legal experience: 20 years in private practice at a major law firm and 15 years in‐house at Merrill Lynch and Bank of America. Mr. Putetti has a proven track record representing and advising senior and executive management and Human Resources on important employment and labor law risks; designing practical solutions to difficult and complex issues; representing employers in employment disputes, including litigating and mediating cases; and advising management and Human Resources in developing policies and practices. Mr. Arthur Sims is a fiduciary services expert and consultant for Bates Group, with expertise in account acceptance, administration and investment within the parameters of personal trust and estate administration, as well as aspects of the related employee benefit fields, such as IRA and 401k planning and distributions. During his career, Mr. Sims served as counsel to fiduciary service providers before transitioning to business development and administration services, ending with successive terms as President of different fiduciary organizations where he was broadly responsible for the creation, staffing and training, administration, financial accounting and regulatory compliance of the entire entity. Mr. Sims’ experience includes both start‐up, full-service fiduciary organizations and also mature businesses undertaking substantial changes to their business plans. To learn more about these experts and consultants and their various achievements, please visit Bates Group's website:

Epstein Becker Green Expands Litigation Practice with Addition of Brian Friedman in New York

Posted on 2018-05-09

Epstein Becker & Green is pleased to announce that Brian L. Friedman has joined as a Member of the Firm in the Litigation & Business Disputes practice in the New York, NY office. Mr. Friedman has broad commercial litigation experience in state and federal courts and domestic and international arbitration, with a focus on the financial services industry. A significant portion of his practice is dedicated to representing and counseling major brokerage firms, futures commission merchants, and other leading financial institutions in securities and commodities litigation; arbitrations and mediations; compliance and regulatory matters; and investigations and enforcement proceedings by the Securities and Exchange Commission, Financial Industry Regulatory Authority,the Commodity Futures Trading Commission, the National Futures Association, and exchanges. Prior to joining Epstein Becker Green, Mr. Friedman practiced at Proskauer Rose LLP, where he was also a member of the firm’s Financial Services Practice Group and Securities Litigation Practice Group. For further information and to learn more about Mr. Friedman and his various achievements, please visit Epstein Becker & Green's website:

Longford Capital Adds to its Team of Experienced Litigators

Posted on 2018-05-09

Longford Capital Litigation Finance is pleased to announce that Justin A. Maleson has joined the firm as a Director. Mr. Maleson will assist with investment sourcing, due diligence, and monitoring of portfolio investments. Prior to joining Longford Capital, Mr. Maleson was a partner in the litigation department of Jenner & Block, where he focused on large-scale commercial litigation. He has litigated cases across the country, and his experience spans a wide range of substantive areas of the law, including commercial contracts, business torts, intellectual property, and licensing. He has been involved in all phases of the litigation lifecycle from inception of a dispute through trial and appeal. In private practice, Mr. Maleson regularly directed and participated in fact development and case assessment, and counseled corporate clients about the strength of claims, strategy, and dispute resolution. For further information and to learn more about Mr. Maleson and his various achievements, please visit Longford Capital's website:

Capital Forensics Inc. Further Expands Professional Depth With Addition of Three Senior Advisors

Posted on 2018-03-23

Capital Forensics Inc. is pleased to announce that the firm has added three Senior Advisors to its growing team of consulting professionals and expert witnesses. The firm’s new members include: R. Gerald (Jerry) Baker, Jeffrey L. Baliban, CPA and Sean T. Gilmartin, Esq.. Mr. Baker is a highly respected and regulatory professional with more than four decades of experience in senior level compliance positions at one of the nation's leading financial services firms. Mr. Baker has had a distinguished career as an independent advisor to firms, associations and regulatory organizations in the financial services industry; notably he served as a Special Advisor to the Compliance and Legal Society of the Securities Industry and Financial Markets Association (SIFMA) for more than a decade. Mr. Baliban, a Professor of Statistical Measurements, Analysis and Research at NYU, has for nearly 40 years provided independent evaluation studies for a broad range of complex commercial disputes. Mr. Baliban has directed many forensic accounting investigations with regard to fraud issues, SEC compliance, Ponzi schemes, and other Department of Justice investigations. His professional background includes senior positions at KPMG, Alvarez & Marsal, Navigant Consulting and NERA Economic Consulting. Mr. Gilmartin, has served as a senior compliance officer for nearly 3 decades, including positions as Director of Regulation at the NYSE, and as a senior compliance officer for Merrill Lynch. At the NYSE, Mr. Gilmartin was responsible for building the Surveillance and Investigations program for trading across three equities exchanges and two options exchanges. To learn more about these advisors and their various achievements, please visit Capital Forensics' website:

Former SEC Investment Management Director and Deputy Chief Counsel Join Stradley Ronon

Posted on 2018-03-23

Stradley Ronon Stevens & Young is proud to announce that David W. Grim and Sara P. Crovitz have joined the firm as partners in its Washington, DC office. Dave was most recently Director of the U.S. Securities and Exchange Commission’s Division of Investment Management. Sara was most recently Deputy Chief Counsel and Associate Director in the SEC’s Division of Investment Management. The Division protects investors and promotes capital formation through oversight of the nation's multitrillion dollar asset management industry. Mr. Grim has spent more than 20 years in public service at the SEC, joining the Division directly from law school and rising to become its leader. He is a recognized leader in the asset management industry, having developed a legacy of regulatory policy reforms and legal guidance that shaped the Division and the industry it regulates. As Director, Dave was responsible for developing regulatory policy for investment advisers and investment companies, including mutual funds, exchange-traded funds, closed-end funds, business development companies, unit investment trusts, and variable insurance products. In addition, he oversaw the Division’s relationships with other key functions at the SEC, including the Division of Enforcement and the National Exam Program. Ms. Crovitz has more than 20 years of experience at the SEC. In her most recent position, Sara worked with a team of over 50 attorneys in issuing exemptive orders, no-action/interpretive letters, IM guidance updates and other written and oral guidance, including guidance related to MiFID, clean shares and auditor independence. She also led the Division's international obligations including IOSCO and FSB work streams. To learn more about David W. Grim, and Sara P. Crovitz and their various achievements, please visit Stradley Ronon's website:

Shustaks Reynolds & Partners Adds to its Transactiosn Practice Group and Adds New Business and Securities Attorney

Posted on 2018-03-23

Shustak Reynolds & Partners is pleased to announce a significant expansion of their corporate and securities transactions practice group by the addition of two senior lawyers with extensive experience and expertise in corporate and securities transactions; public and private offerings; mergers, acquisitions and divestitures; debt offerings; venture capital, crowdfunding, and hedge funds. Mr. Richard A. Weintraub has 35 years experience specializing in business and securities transactions; venture capital; choice and formation of business entities; mergers, acquisitions, and divestitures; public and private offering; and debt financing. He is also an expert in crowdfunding, hedge funds, and private equity funds. Richard has taught tax and securities law at UCLA, UCSD, and USD and often has been an expert witness in his fields of practice. Ms. Amber L. Condron focuses on securities and corporate law and transactions and has worked closely with Richard Weintraub at the Weintraub Law Group for the last five years. She represents businesses of all sizes and specializes in helping companies raise private capital under Rule 506, Title III, and Regulation A+. Shustak Reynolds is also pleased to announce that Erik M. Ideta has recently joined the firm in our San Diego office. Erik focuses on business and securities transactions and dispute resolution. Erik practiced business litigation with the national law firm of Troutman Sanders LLP and then served as COO of a successful business start-up. For further information and to learn more about these attorneys and their various achievements, please visit Shustak Reynolds & Partners' website:

Katrina Boice, Esq. Joins Girard Bengali APC

Posted on 2018-02-15

Girard Bengali APC is honored to announce that Katrina Boice has joined the firm as Of Counsel. Ms. Katrina M. Boice represents clients in securities arbitration matters before FINRA and securities litigation matters in state and federal courts. Ms. Boice began her career in 2008 and has gained valuable knowledge in the industry. Ms. Boice is a member of the Public Investors Arbitration Bar Association and has served on its membership committee, annual meeting committee and bar journal committee. Ms. Boice has spoken before law students and professional groups on various topics which include social media, the handling of securities arbitration and litigation involving brokerage firms. To learn more about Katrina M. Boice, and her various achievements, please visit Girard Bengali's website:

Orrick to Expand National White Collar & Securities Litigation Practice with the Addition of 7 New Litigators in NY and DC

Posted on 2018-02-15

Orrick Herrington & Sutcliffe has expanded its white collar and securities litigation practices with the addition of 7 new partners to its Washington, DC and New York, NY offices. All formerly with the law firm Morvillo LLP (Orrick and Morvillo LLP merged in January 2018) the new partners are: E. Scott Morvillo, Amy Walsh, Gregory Morvillo and Ellen Murphy all located in the firm's New York offices and Richard J. Morvillo, Andrew J. Morris and Daniel Nathan all located in the firm's Washington DC offices. Mr. E. Scott Morvillo represents executives and businesses in a wide range of criminal, regulatory and civil matters, as well as internal investigations, ranging from allegations of securities and bank fraud and public corruption to violations of the Foreign Corrupt Practices Act. Ms. Amy Walsh represents individuals and institutions in government investigations, enforcement actions and prosecutions by various government agencies, including the U.S. Department of Justice, SEC, CFTC and IRS. Mr. Gregory Morvillo has represented individuals and corporations in dozens of federal and state court actions and in government investigations, specializing in trials involving insider trading and securities fraud matters. Ms. Ellen Murphy's white collar and complex litigation practice focuses on representing individuals and organizations in a variety of civil, criminal and regulatory matters, frequently in the Southern and Eastern Districts of New York. Her cases have involved allegations of public corruption, securities fraud, mail and wire fraud, SEC investigations, securities class actions and complex commercial litigations. Ellen has tried criminal cases to verdict and arbitrations to final decisions. Mr. Richard J. Morvillo is a former branch chief with the SEC’s Division of Enforcement and is a nationally recognized expert in SEC enforcement and other white collar matters. He has extensive experience in FCPA cases, securities-related white collar criminal matters and private securities litigation. Mr. Andrew J. Morris has extensive experience handling high-stakes securities litigation, financial services litigation and other complex financial disputes. He represents clients in civil litigation and in matters initiated by regulators such as the SEC, banking agencies and the Department of Justice. Mr. Morris handles matters involving securities laws, financial services laws, professional liability and corporate governance, as well as RICO, the FCPA and various business torts. Lastly, Mr. Daniel Nathan has served for 25 years as a senior enforcement official with FINRA, the SEC and the CFTC. In private practice, he advises clients facing FINRA and SEC examinations and enforcement investigations related to broker-dealer supervisory procedures, sales practices, anti-money laundering, product disclosure and supervision, and securities and broker registration. Also joining Orrick are counsel Henry “Pete” Putzel III, Jason Somensatto and Savannah Stevenson. To learn more about these new partners and their various achievements, please visit Orrick's website:

Veteran FINRA Enforcer Emily Gordy Joins McGuire Woods in Washington

Posted on 2018-02-15

Emily P. Gordy, who managed enforcement operations at FINRA and served as chief regulatory counsel for the nation’s largest independent broker-dealer, has joined McGuireWoods’ commercial litigation practice as a partner in Washington, D.C. Ms. Gordy counsels broker-dealer and investment adviser clients, drawing on her nearly three decades of experience in securities regulation. She joins a cross-practice team of former government insiders, senior in-house counsel and seasoned litigators assisting broker-dealers and investment advisers in regulatory compliance, investigations and litigation. Ms. Gordy held senior executive roles during her 14-year career in FINRA’s enforcement and examination departments, where she led efforts to resolve investigations and disciplinary actions; managed a 75-member regional team that handled more than 700 disciplinary matters annually; and provided counsel on policy issues, including anti-money laundering, supervision, suitability and other sales practice issues. She also led the enforcement integration team responsible for consolidating the regulatory enforcement functions of the National Association of Securities Dealers (NASD) and the New York Stock Exchange in 2007. To learn more about Emily P. Gordy, and her various achievements, please visit McGuire Wood's website:

Robert K. Jamieson Named Shareholder at Wiand Guerra King

Posted on 2018-02-02

The law firm of Wiand Guerra King PL is pleased to announce that Robert K. Jamieson, who has been with the firm since its inception, has been named a shareholder of the Firm. Mr. Jamieson concentrates his practice on the litigation of complex commercial disputes with an emphasis on the representation of financial services institutions and professionals in civil and regulatory matters. He is peer rated AV Preeminent by Martindale Hubbell, its highest rating, and has been recognized as a Rising Star by Florida Super Lawyers since 2013. He is a barrister in the William Reece Smith Litigation American Inn of Court and Co-Chair of the Hillsborough County Bar Association Securities Law Section. Mr. Jamieson is also active with and has previously spoken before the Financial Markets Association. To learn more about Robert K. Jamieson, and his various achievements, please visit Wiand Guerra King PL's website:

Bates Welcomes New Experts & Consultants

Posted on 2018-02-01

Bates Group is proud to introduce our new experts and consultants: David Gibbons, Allen Margolius, Robert Morris, Daniel Perkins, Ricardo Ramos and Lloyd Wennlund. Bates Group expert and consultant David D. Gibbons is an accomplished financial services executive with over 40 years of experience as a former senior banking regulator (both policy and supervision), Chief Risk Officer, banking consultant (shadow regulator), and testifying expert. Prior to joining Bates, Mr. Gibbons served as Managing Director for Alvarez and Marsal’s Financial Industry Advisory Services and Promontory Financial Group. As the Chief Risk Officer for HSBC Holdings for North America, he led the implementation of advanced risk management practices and programs. Allen Margolius is a Bates Group expert and consultant with broad knowledge of the investment management industry. He has a successful long-term track record in fundamental equity analysis, portfolio construction and management, institutional marketing and client service. Before joining Bates, Mr. Margolius was Senior Vice President of Research at Palisade Capital Management, where he invested in dynamic companies focusing on new product, strategy, acquisition, management or regulatory change. Beyond investing, Mr. Margolius has also been involved in client service to various audiences including institutional consulting firms, pension boards, and large platforms. Robert Morris is an expert and consultant with Bates Group, where he uses his OFAC/BSA expertise as an Anti-Money Laundering Compliance Officer (AMLCO) to provide financial services consulting and testimony, primarily for broker-dealers. Mr. Morris has over 30 years of industry experience as a Regulatory Compliance Consultant and Project Manager, leading engagement teams in diverse financial institutions and providing BSA/AML, Global Economic Sanctions, Risk Management, Financial Crimes and Forensic Investigations subject matter expertise. He has consulted financial regulatory compliance programs at over a dozen financial institutions and has managed numerous compliance teams across the country. Mr. Morris has also served recently as a FINRA arbitrator. Bates Group consultant and expert Daniel Perkins has over 30 years of life underwriting experience at both the direct and reinsurance level. Mr. Perkins has testified in civil and arbitration matters, including before State Circuit, Superior and Supreme Courts, and in U.S. District Court. Mr. Perkins’ work as an expert witness has included issues involving material misrepresentation (financial and medical), investor owned-policies, life mortality/expectancy, and reinsurance disputes. Additionally, his background as an attorney allows him to blend together the two disciplines to produce analytical opinions that discuss life underwriting issues in a manner that is easily understood and within the legal framework to meet the needs of counsel and other professionals. Ricardo N. Ramos is an expert and consultant with Bates Group specializing in capital markets, fixed income, investment management and corporate governance. Mr. Ramos began his career in the audit division of Arthur Andersen and Co. From there, he moved on to positions at Drexel Burnham, Lehman Brothers, Citibank, Oriental Finance Group, and Reliable Financial Services (a subsidiary of Wells Fargo), all in Puerto Rico. As a consultant, Mr. Ramos has testified in over twenty FINRA arbitrations and before the SEC. Lloyd Wennlund is a Bates Group expert and consultant with over 31 years of experience in the Financial Services Industry. Prior to joining Bates Group, Mr. Wennlund spent almost 28 years with The Northern Trust Company where he was most recently Executive Vice President. For over 22 years, Mr. Wennlund was President of the $150 billion mutual fund complex, Northern/Northern Institutional Funds. While at Northern, he was also President/CEO of Northern Trust Securities (NTSI), a Full-Service Broker/Dealer serving Wealth Management and Institutional clients. Mr. Wennlund has significant experience working with various regulatory bodies including the SEC, FINRA, OCC, Federal Reserve, DOL and others. To learn more about these experts and consultants and their various achievements, please visit Bates Group's website:

DLA Piper Adds former Holland & Knight Attorney Joel Athey as Partner in its Los Angeles Office

Posted on 2018-02-01

DLA Piper is pleased to announce that Joel Athey has joined the firm's litigation practice as partner in its Los Angeles office. Mr. Athey, who previously served as the managing partner of Holland & Knight LLP's Los Angeles office, focuses his practice on white collar criminal defense, US Securities and Exchange Commission enforcement, private securities litigation, internal corporate investigations, banking and regulatory investigations and litigations, consumer protection matters and complex civil litigation. He represents companies conducting internal investigations of alleged wrongdoing and advises companies on compliance matters. He also represents companies and individuals in SEC and FTC investigations and enforcement actions. In addition, he represents clients in a wide range of civil litigation matters, including defending legal professionals against fraud-based allegations and venture capitalists accused of misleading investors. He works with companies and banks in defending securities litigations. Mr. Athey has also represented officers and directors of failed financial institutions in criminal and regulatory investigations, and in post-takeover FDIC proceedings. To learn more about Joel Athey, and his various achievements, please visit DLA Piper's website:

Capital Forensics Inc. Expands Legal and Regulatory Consulting Capabilities with Addition of Noted Attorney Noah Sorkin

Posted on 2017-12-14

Capital Forensics Inc. is pleased to announce that Noah Sorkin – a well-recognized legal authority in the financial services industry – has joined the firm as a Senior Advisor, adding professional depth to CFI’s ability to provide financial services firms with a broad range of legal and regulatory solutions. Mr. Noah Sorkin has more than 30 years of experience in financial services, most recently having served as Executive Vice President and General Counsel for AIG Advisor Group in New York, where he was responsible for all legal, regulatory and related risk-management issues within a network of four broker-dealer / investment advisory firms and 5,000 affiliated Registered Representatives. Previously, he was associated with other nationally recognized firms, including Fidelity National Financial, Oppenheimer & Co., and Prudential Securities, Inc. To learn more about Noah Sorkin and his various achievements, please visit Capital Forensics' website:

Leading FinTech Team Joins McDemortt Will & Emery

Posted on 2017-12-14

McDermott Will & Emery is pleased to announce that FinTech lawyer and thought leader Lee Schneider has joined as partner in the firm's Financial Institutions Advisory Practice Group. Mr. Lee will be based in the firm's New York, NY office and leads a team including partner Lilya Tessler and associate Verity A. Van Tassel Richards. The new McDermott Will & Emery attorneys bring a strong background in broker-dealer regulation, advising clients on operations of broker-dealers and alternative trading systems, SEC and FINRA inquiries, cross border regulatory issues, and the structuring and development of policies and procedures for companies in their start-up phase. Prior to joining McDermott Will & Emery, Mr. Lee most recently served as head of Debevoise & Plimpton’s Broker-Dealer and FinTech practices. He is a recognized FinTech attorney and regularly assists financial services and other firms in token offerings associated with blockchain projects. He is also the author of Coinbase’s widely read guidance: “A Securities Law Framework for Blockchain Tokens. To learn more about Lee Schneider, his team and his various achievements, please visit McDermott Will's website:

Thomas A. Roberts Joins Bressler Amery & Ross

Posted on 2017-10-25

Bressler Amery & Ross is pleased to announce that Thomas A. Roberts has joined the firm's New York, NY office where he will serve as a Principal in its Securities and Securities Litigation practices. Previously a partner at the New Orleans firm of Barrasso Usdin Kupperman Freeman & Sarver, Mr. Roberts focuses his practice on complex commercial litigation with an emphasis on defending securities brokerage firms, financial services firms and professionals. Mr. Roberts also represents telecommunications clients in litigation and regulatory matters. He has appeared extensively in federal and state courts and in arbitration proceedings before all major self-regulatory organizations, and private dispute resolution organizations. To learn more about Thomas A. Roberts and his various achievements, please visit Bressler's website:

RELOCATIONS/NAME CHANGE: Ballard & Littlefield

Posted on 2019-02-15

Ballard & Littlefield has relocated their Houston offices from Suite 250 to Suite 1020. Our address remains the same: 3700 Buffalo Speedway, Houston, TX. 77098. Phone: (713) 403-6400. For further information about this firm please visit Ballard & Littlefield's website:

Lax & Neville

Posted on 2018-11-21

Lax & Neville is pleased to announce that their office has relocated to: 350 Fifth Avenue, Suite 4640, New York, NY 10118. Phone: 212-696-1999. For further information about this firm please visit Lax & Neville's new website:

Norris McLaughlin PA

Posted on 2018-09-28

Norris McLaughlin PA is pleased to announce its new firm name of Norris McLaughlin PA formerly Norris McLaughlin & Marcus PA. Norris McLaughlin still has locations in Allentown and Pennsburg, Pennsylvania as well as New York, NY and Bridgewater, New Jersey. Our new look is reflective of our vision for the future - and we hope that you like it as much as we do! For further information about this firm please visit Norris McLaughlin's new website:

Gelb & Gelb

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:

ANNOUNCEMENTS: Shustak Reynolds & Partners Recognized by U.S. News & World Report - Best Lawyers as a 2019 "Best Law Firm"

Posted on 2018-11-21

Shustak Reynolds & Partners is proud to announce that our firm has been recognized by U.S. News & World Report - Best Lawyers as a "Best Law Firm" of 2019. This is the second year in a row that our firm achieved a Tier 1 rating for Financial Services Law. Firms included in the 2019 Edition of “Best Law Firms” are recognized for their professional excellence and consistently impressive ratings from both clients and peers. Achieving a tiered ranking signals a unique combination of quality law practice and breadth of legal expertise. U.S. News & World Report is known as the global authority in law firm rankings, and only a small percentage of firms nationwide receive this distinction. To learn more about this firm and their various other achievements and accolades, please visit Shustak Reynolds & Partners' website:

Keesal Young & Logan Named 2018 Top 20 Boutique Law Firms in California

Posted on 2018-11-21

Keesal Young & Logan is pleased to announce that the firm has been named 2018 Top 20 Boutique Law Firms in California by the editors and editorial staff of The Daily Journal. Founded in 1970 by Samuel A. "Skip" Keesal, Keesal Young & Logan has represented many big financial services clients and has handled over 20,000 cases involving securities litigation and arbitration. With offices in Long Beach, San Francisco, Seattle, Anchorage and Hong Kong, the firm has expanded to 52 attorneys and professionals. To learn more about Keesal Young & Logan and the firm's various achievements, please visit Keesal Young & Logan's website:

Kevin Casey Named 2019 Best Lawyers

Posted on 2018-09-28

Stradley Ronon Stevens & Young are proud to announce that Stradley Ronon Partner Kevin R. Casey was selected by Best Lawyers as a 2019 "Lawyer of the Year" for trademark law in Philadelphia. Best Lawyers names a single lawyer in each specialty in each community as “Lawyer of the Year.” Those honored have received outstanding ratings in the surveys by earning a high level of respect among their peers for their abilities, professionalism and integrity. Mr. Casey is Chair of the intellectual property and the IP litigation groups at Stradley Ronon and an active member of the alternative dispute resolution group. In addition to being listed annually by The Best Lawyers in America in several substantive intellectual property fields, this is the fourth time that Best Lawyers has named him as its “Lawyer of the Year” in Philadelphia. To learn more about Kevin R. Casey and his various achievements, please visit Stradley Ronon's website:

Stradley Ronon Partners Recognized as The Philadelphia Inquirer's 2018 Influencers of Law

Posted on 2018-08-17

Stradley Ronon Stevens & Young are proud to announce that Stradley Ronon Chairman Bill Sasso and Investment Management Co-Chair Bruce Leto were honored as The Philadelphia Inquirer’s 2018 Influencers of Law Award recipients in the “Lifetime Achievement” and “Investment Management” categories, respectively. This recognition honors Philadelphia’s leading lawyers who “set the bar high” by impacting business and serving the community. Mr. Sasso has been chairman of Stradley Ronon since 1994. In that role, he is responsible for oversight and management of more than 200 attorneys in the firm's eight offices. Mr. Leto is co-chair of Stradley Ronon’s Investment Management Group. Under his leadership, the group has expanded in size from 10 to 60 investment management attorneys, becoming the largest such practice in Philadelphia, and one of the largest nationwide. Consistently acknowledged in the market as one of the top registered-funds lawyers in the United States, he also serves on Stradley Ronon’s board of directors and management committee. To learn more about Bill Sasso and Bruce Leto and their various achievements, please visit Stradley Ronon's website:

Best Lawyers Recognizes 71 Moore & Van Allen Attorneys

Posted on 2017-12-14

Moore & Van Allen is pleased to announce that 71 attorneys representing each of the Firm’s offices were listed in The Best Lawyers in America 2018. Additionally, Financial Services Member C. Wayne McKinzie was named a Best Lawyers 2018 Banking & Finance Law “Lawyer of the Year” in Charlotte; Corporate Member Hal A. Levinson was named a Best Lawyers 2018 Corporate Law “Lawyer of the Year” in Charlotte; and Corporate Member Ashley Steele Nutley was named a Best Lawyers 2018 Banking & Finance Law “Lawyer of the Year” in Charleston. To see the complete list of 71 attorneys and their various achievements, please visit Moore & Van Allen's website:

Ailen Cruze Selected to 2017-2018 Leadership Institute Class of The Hillsborough County Bar Association

Posted on 2017-12-14

Wiand Guerra King is pleased to announce that Ailen Cruz was accepted into the 2017-2018 Leadership Institute Class of the Hillsborough County Bar Association. The HCBA Leadership Institute identifies attorneys within the Tampa Bay area who have the potential to develop into Bar and community leaders. The Leadership program includes a development program; leadership development activities; networking with other attorneys and the public; and volunteer opportunities within the community. Ms. Cruz's practice includes complex commercial disputes and regulatory matters, with a focus on securities and financial services litigation. She represents securities broker/dealers, investment advisors, and their associated persons in federal and state court and in arbitration. To learn more about Ailen Cruz and her various achievements, please visit Wiand's website:

MarketCounsel Wins 2017 Industry Award for its RIA Incubator

Posted on 2017-10-25

Brian Hamburger and his firm MarketCounsel have been named the 2017 Industry Award Winner in the Outstanding Achievement in Compliance Consulting' category by The Industry Awards honor outstanding achievements by companies and organizations that support financial advisor success. MarketCounsel earned the award for its RIA Incubatorâ„¢, a program that, since the firm's inception, has breathed life into the dreams of financial advisors who long for independence. MarketCounsel's RIA Incubator is designed to give visionary prospective owners the consulting and resources they need to confidently launch a firm that is custom-built from scratch to their precise specifications. In response to the achievement, Mr. Hamburger, founder and CEO of MarketCounsel stated: We are honored to be recognized by for our work in continuously evolving and improving the RIA Incubator to meet the exacting needs of the most successful financial industry executives turning to entrepreneurship. To learn more about MarketCounsel and its RIA Incubator program, please visit MarketCounsel's website:

Five Duane Morris LLP Lawyers Named Best of the Bar: Philadelphia's Top Lawyers List

Posted on 2017-10-25

Duane Morris LLP is pleased to announce that five of its attorneys have been recognized by the Philadelphia Business Journal’s inaugural “Best of the Bar: Philadelphia’s Top Lawyers” list. Rudolph “Skip” Di Massa, Chair of Duane Morris’ Business Reorganization and Financial Restructuring Practice Group; Nicole McLaughlin, Chair of the firm’s Trademark, Copyright, Entertainment and Advertising Practice Group; Jonathan Segal, Partner in the Employment, Labor, Benefits and Immigration Practice Group and managing principal of the Duane Morris Institute; Kathleen Shay, Partner in the Corporate Practice Group; and Matthew Taylor, Vice Chairman of the firm and Incoming Chairman and CEO, are honored for their significant and recent achievements. To learn more about these attorneys and their various achievements, please visit Duane Morris's website: or visit Philadelphia Business Journal's website: www.bizjournals/

Jeffrey E. Schaff is Awarded the Emerald Publishing's Literati Award for Excellence

Posted on 2017-06-02

Jeffrey E. Schaff, a fiduciary duty expert, principal of Ardor Fiduciary Services and President of The Securities Experts Roundtable, has, together with co-author Michele L. Schaff, been awarded Emerald Publishing's Literati Award for Excellence - 2017, for their Outstanding Paper, published in the Journal of Investment Compliance (Vol. 17, No. 1) and entitled, "Best Interest of Whom?" The article, the first of two critical of the DOL Fiduciary Rule, will be the subject of an "Article Summary" in the next edition of SAC and is currently available in full text at:

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:

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:

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:

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:

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