Dale Securities Lawyers

David S. Rich is the founding member of the Law Offices of David S. Rich, LLC. Mr. Rich is a New York City Business Litigation Attorney. Mr. Rich litigates civil, commercial, employment, and securities matters in federal and state courts in New York and New Jersey, and arbitrates such matters before FINRA and other arbitral bodies. Mr. Rich also litigates appeals. Mr. Rich has represented clients in, among other civil and commercial matters, breach of contract actions, business torts cases, bankruptcy and adversary proceedings, civil racketeering actions, oppressed minority shareholder disputes, product liability litigation, franchisor-franchisee litigation, qui tam...

Joseph’s practice is concentrated in the areas of regulation of financial services firms, securities litigation and commercial litigation.

Gabriel Berg is a partner in Robins Kaplan’s New York office. A true trial lawyer, Gabriel has tried numerous complex commercial jury trials, bench trials and arbitrations, as plaintiffs and defendants across a broad range of business sectors. From the moment he meets a client to his final words in closing argument, Gabriel weighs every strategic decision by considering its impact on the trial. Even in matters that settle quickly, this trial-focused approach increases the value of Gabriel’s cases. While Gabriel has won numerous cases through motion practice and interlocutory appeal, he has had the unique opportunity to gain trial experience...

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

Robert R. Miller is an associate at Lax & Neville LLP with a practice primarily in securities, employment, and corporate disputes before the Financial Industry Regulatory Authority (“FINRA”) the American Arbitration Association (“AAA”), and state and federal courts.

He represents individual investors in their claims against brokers, broker-dealers, and wealth managers for abusive customer sales practices, such as fraud, churning, unsuitability, and breach of fiduciary duty; brokers and other financial services professionals in a broad range of matters, including transitions between firms and disputes over deferred compensation, promissory notes, Form U-5 expungements, and employment agreements; and broker-dealers and other financial services...

Warren Law Group is a business law firm that provides its clients with fierce strategic advocacy in the courtroom and sage advice in the boardroom. Our approach is to give our clients the freedom to pursue their vision while mitigating their risks and minimizing liability exposure. Warren Law Group represents privately held businesses of all sizes as well as investors and not-for-profit organizations in everything from formation and deal-making to protecting their rights in litigation and arbitration. Contact Chris Warren today to learn about how Warren Law Group can protect your rights and bring your business to the next level.

Mr. Ross Pitcoff, Founder of Pitcoff Law Group, has 10+ years of corporate transactional and business litigation experience. A graduate of Fordham University School of Law in 2010. Ross Pitcoff represents business owners and, on occasion, individuals, in all types of complex commercial disputes. Ross Pitcoff also provides general counsel and corporate-transactional services to businesses in the financial services, and medical professional industries. This includes company formation and strategy, review of contractual and vendor agreements, acquisitions and overseeing asset purchases and sales. Contact Ross Pitcoff: ross@pitcofflawgroup.com (646) 386-0990

Cesar is an International Attorney specialized in business law, litigation, and cross-border investments. He assists start-ups and seasoned investors to structure their business efficiently, reducing risk and setting them up for success. His experience in dispute resolution and litigation allows him to provide comprehensive and top-notch advise zealously protecting the interest of his clients. He holds a J.D. and International Arbitration LL.M. from the University of Miami School of law, an LL.M. for Foreign-Trained Lawyers from Brooklyn Law School, and a Licenciatura en Derecho “Cum Laude” from the Universidad Tecnológica de Honduras. He is admitted to practice law in the states...

Barbara Hart is a principal at Grant & Eisenhofer and serves on the firm’s Executive Committee. Ms. Hart has nearly three decades of experience as a leader in plaintiffs’ litigation. She has represented institutional investors, including many public pension funds, in securities and antitrust litigation and served as lead counsel in 4 of the top 100 securities class action settlements. Ms. Hart has also achieved substantive antitrust and False Claims Act/Qui Tam settlements on behalf of her clients. In addition, Ms. Hart has represented other matters include representation of approximately 45 adult survivors of sexual abuse who brought claims against the...

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

Daniel D’Costa, Esq. is the managing partner at D’Costa Law, P.C. His practice focuses on FINRA securities arbitration, fraud, personal injury, workers’ compensation, and insurance provider denials of no-fault benefits for both injured parties and health care providers. As an experienced litigator, Daniel has represented all types of clients around the nation and abroad in court and various forms of alternative dispute resolution forums. Daniel is passionate about the law, his clients and providing personal attention to each of his clients in order to make the legal process as stress free as possible while achieving the best possible outcome. Daniel represents...

Lois has experience in handling legal matters in the USA, Canada, China and European Union. She is licensed in New York and Michigan along with Ontario, Canada. This vast breadth of experience and knowledge covers most domestic and international work required in modern business contracts. Speaking native English and Mandarin Chinese has proven useful in resolving the business cultural and conflicting legal systems between The United States and China when designing business agreements. Lois specializes in StartUps, Contracts, Merger and Acquisition, Securities, Cryptocurrency, SaaS, Tax Planning, IP Laws. Lois can provide direct answers to what documents are needed to start...

I'm a former prosecutor, current defense attorney, and a proud New Yorker of 18 years. My areas of focus are criminal defense and professional medical discipline. I'm familiar with securities regulations and investigated public corruption for state government. As your defense lawyer, I would bring a decade of trial and investigation experience and an eye for the weaknesses in even the most complex of cases. I live in Brooklyn with my partner and two bulldogs.

Andrew Abramowitz is a corporate and securities transactional attorney with outstanding depth and breadth of experience. In 2010, following years of intensive experience as a partner and associate at the New York offices of prominent, international law firms, he launched his own practice.

His goal is to provide clients with the sophisticated legal representation and prompt response time found at large law firms, together with attributes not often associated with those firms: consistent partner-level attention to every aspect of a matter, not merely at the initial client meeting; responsiveness to the client’s needs unhampered by large firm bureaucracy; and a reasonable...

Keith M. Fleischman is a founding partner of Fleischman Bonner & Rocco, as well as its predecessor firm, Fleischman Law Firm, PLLC. Keith is a nationally recognized trial lawyer who has successfully investigated, litigated, and tried to verdict some of the largest and most complex civil and criminal cases in the country. Keith began his career as a prosecutor, first with the Bronx District Attorney’s Office and later with the Department of Justice. His practice presently focuses on representing public and private companies, financial institutions, and institutional investors in connection with the prosecution and defense of complex...

Jaimie Fried Dockray joined Rich, Intelisano & Katz, LLP as Special Counsel in 2013. She represents both individuals and employers in employment-related matters. Ms. Dockray has extensive experience representing both individuals and employers in all aspects of workplace disputes, including contract negotiations and litigation. Her clients have included high net worth individuals as well as financial institutions and nonprofit organizations.

Prior to joining Rich, Intelisano & Katz, LLP, Ms. Dockray worked at Bingham McCutchen, LLP for approximately 15 years. While at Bingham, Ms. Dockray practiced law in their management-side labor and employment group, representing public and private...

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

I am a founder of The Law Firm of Ekaterina Mouratova, PLLC. The legal practice of my firm focuses on business and corporate law, immigration, securities regulations, intellectual property, and real estate transactions. I believe that qualified legal representation involves not only expertise in the subject matter and outstanding performance, but also creativity and determination to find the most beneficial procedures for my clients. Whether advising multinational companies on cross-border transactions and joint ventures, or assisting individual entrepreneurs, artists, and immigrants, I do my job in an efficient, result-oriented, expeditious and personable manner.

Sandra P. Lahens is a partner at Lax & Neville LLP. Sandra’s practice involves representing businesses and individuals in commercial litigation and arbitration regarding securities and investment disputes, employment matters and regulatory investigations. She has successfully arbitrated and mediated cases before the Financial Industry Regulatory Authority (“FINRA”), the American Arbitration Association (“AAA”), JAMS, and litigated cases in federal and state courts, including in appeals before the New York Court of Appeals for the Second Circuit and the New York State Appellate Division.

Sandra represents investors nationwide in customer sales practice disputes against their registered representatives, broker dealers and registered investment advisors...

The focus of our practice is the representation of individual and institutional investors in arbitrations and litigations involving claims of breach of fiduciary duty, breach of contract, mismanagement, stock fraud, suitability, unauthorized trading, negligence and churning.

I also regularly represent those who work in the financial services regarding recruiting practices including issues relating to the Protocol for Broker Recruiting; non-solicit, non-compete and other restrictive covenants; customer privacy and other regulatory issues; best-practices for preserving a book of business through a transition; Form U5 negotiations; responding to FINRA inquiries; promissory notes; bonus disputes; team disputes; temporary restraining orders (TROs); expedited FINRA arbitrations;...

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

Mr. Gershman has extensive experience within the areas of complex commercial, securities, real estate and bankruptcy litigation, as well as commercial...

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Justin Nematzadeh is the Founder and Managing Member of Nematzadeh PLLC. Through practicing at prestigious law firms, he has amassed a record of results through first-chair experience, especially in trials, on behalf of businesses of all sizes, entrepreneurs, the government, public and private institutional investors, and individuals. He has played roles in actions that resulted in recoveries amounting to over $3.53 billion for litigants. In 2018, Justin was honored as a Rising Star under 40 years of age by Law360® in Class Actions, a prestigious award given to a select few “top litigators and dealmakers practicing at a level usually seen...

Samantha Plesser most recently received a Master of Science in Public Policy and Management from The New School of Public Engagement and is an attorney in New York City with more than five years’ experience monetizing labor and employment risks within government and corporate affairs teams of consumer goods, retail and professional services sectors. She also holds two Bachelor of Arts from Brown University and a Jurist Doctorate from Cornell Law School. Her diverse skills include researching and writing about regulatory policy, analyzing ROI, and increasing engagement across human rights, justice and supply chain issues. Realizing that to make a...

• Pragmatic interpretation, drafting, negotiation, clarification and explanation to management, execution, & closing of all contractual matters. • Negotiation and design of employment agreements, stock option, stock appreciation rights, & termination settlement arrangements. • Initiation, monitoring & management of long-term sourcing arrangements in multiple supply-chain and vendor environments (China, England, Mexico & Canada). • Entity formations & structures inclusive of tax & corporate governance in accordance with constituent objectives. • Analysis, creation & drafting of covenant structures in high-yield debt & commercial loan agreements. • Leveraged buyouts utilizing equity, high yield/bank debt sourced publicly/privately. • Exhaustive familiarity with 33/34 Act, Reg. A & “mini-IPO” provisions. • Drafting,...

New York attorney Timothy J. Dennin is a focused advocate for investors, not a general practice litigator. His extraordinary record of recovering lost money, and his national and international clientele attest to his commitment to seeing justice done.

Timothy J. Dennin began his career as an assistant district attorney in Nassau County, New York, and subsequently as a lawyer in the Washington, D.C., office of the Securities and Exchange Commission. Mr. Dennin received a J.D., with honors, from St. John’s University School of Law in 1983 and a Bachelor of Arts from the College of the Holy Cross in 1978.

He is...

Diane Mall Sammarco is Of Counsel to Rich, Intelisano & Katz, LLP. Ms. Sammarco represents investors in securities arbitration and litigation against financial firms, as well as employees in industry disputes and self-regulatory investigations. Ms. Sammarco joined the firm’s predecessor, Rich & Intelisano, LLP, in 2008.

In June 2010, Ms. Sammarco was part of the team at Rich & Intelisano, LLP that won the Bayou v. Goldman Sachs Execution & Clearing case: a $20.6 million FINRA arbitration award against Goldman Sachs related to the Bayou hedge fund fraud. The 18-day hearing generated a 100% recovery of the compensatory damages requested. It...

Mr. Showman has handled numerous complex commercial matters and securities class actions (for both plaintiffs and defendants).  He has represented both claimants and respondents in FINRA securities arbitrations.  He has also represented clients in FINRA investigations and has conducted internal corporate investigations.  He has lectured on securities litigation at NYU and Fordham University.  Mr. Showman is also an arbitrator for FINRA customer and employee arbitrations.