Spencer Securities Lawyers

Mark R. Basile
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Mark R. Basile
Jericho, NY Securities Law Lawyer with 32 years of experience
(516) 455-1500 390 N. Broadway
Suite 140
Jericho, NY 11753
Securities, Bankruptcy and Business
Touro College Jacob D. Fuchsberg Law Center
Mark R. Basile started his career at Shea & Gould in New York City and throughout the course of his career founded and taken public 3 of his own companies; represented entrepreneurs in small businesses and public companies, and now has one of the busiest Entrepreneurial Law practices in the county run by actual entrepreneurial attorneys.

Mr. Basile won the 1998 Smithsonian Award for Advances in Medical Technology; holds several tech patents; represents more than 30 private and public companies, and provides general counsel services, manages compliance and legal matters and provides business guidance to his clients.

Mr. Basile is...
Anthony C. Varbero
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Anthony C. Varbero
New York, NY Securities Law Attorney
111 John St
#1100
New York, NY 10038
Securities and Stockbroker Fraud
Brooklyn Law School
Jaimie F. Dockray
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Jaimie F. Dockray
New York, NY Securities Law Lawyer with 26 years of experience
(212) 684-0300 915 Broadway
#900
New York, NY 10010
Securities, Business and Employment
New England School of Law
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
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Raoul Duggal
New York, NY Securities Law Lawyer with 19 years of experience
(212) 244-7570 450 Seventh Avenue
33rd Floor
New York, NY 10123
Free ConsultationSecurities, Business and International
New York University School of Law
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,...
Robert Brian Volynsky
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Robert Brian Volynsky
New York, NY Securities Law Lawyer
(212) 202-3171 1441 Broadway
3rd Floor
New York, NY 10018
Securities and Stockbroker Fraud
Hofstra University
Samantha Plesser
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Samantha Plesser
New York, NY Securities Law Lawyer with 11 years of experience
(401) 935-9391 130 West 79th St
Apt. 3B
New York, NY 10024
Securities, Arbitration & Mediation, Employment and International
Cornell University
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...
John G. Rich
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John G. Rich
New York, NY Securities Law Attorney with 39 years of experience
(212) 684-0300 915 Broadway
#900
New York, NY 10010
Securities, Arbitration & Mediation, Business and Construction
The University of Utah S.J. Quinney College of Law
Irwin Weltz
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Irwin Weltz
New York, NY Securities Law Attorney with 28 years of experience
(212) 202-3171 1441 Broadway
3rd Floor
New York, NY 10018
Free ConsultationSecurities, Employment and Stockbroker Fraud
New York Law School
Kevin T. O'Brien
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Kevin T. O'Brien
Buffalo, NY Securities Law Lawyer with 20 years of experience
(716) 885-1150 12 Fountain Plaza, Suite 600
Buffalo, NY 14202
Free ConsultationSecurities, Appeals, Arbitration & Mediation and Stockbroker Fraud
Brooklyn Law School
Attorney focusing on FINRA Securities Arbitration, Consumer Protection and Professional Liability in Buffalo and Rochester, New York.
Umar Farooq
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Umar Farooq
Buffalo, NY Securities Law Lawyer with 13 years of experience
(716) 235-1825 Dig @ The Innovation Center
640 Ellicott Street, Suite 109
Buffalo, NY 14203
Free ConsultationSecurities, Business, Communications and IP
SUNY Buffalo Law School
When it comes to corporate and commercial law matters, you need an attorney that not only has a deep understanding of the law, but is passionate about your company’s continued success. With over eight years of experience practicing business law, including time at a global law firm, I provide personal service and practical solutions to tackle your most challenging legal issues. I also understand the importance of efficiently managing your legal budgets, which is why I offer flexible fee arrangements. To learn if I’m the right fit for your organization, schedule a free consultation today.
Thomas Wyckoff
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Thomas Wyckoff
New York, NY Securities Law Attorney with 29 years of experience
(212) 256-8403 14 Wall Street
New York, NY 10005
Free ConsultationSecurities and Business
Albany Law School
• 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,...
Daniel D'Costa
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Daniel D'Costa
Hicksville, NY Securities Law Attorney with 5 years of experience
(516) 737-1462 100 Duffy Ave
#510
Hicksville, NY 11801
Free ConsultationSecurities and Personal Injury
Brooklyn Law School
Nyarumba Nota Esq
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Nyarumba Nota Esq
New York, NY Securities Law Lawyer with 21 years of experience
(646) 808-0750 11 Broadway, Ste 615
New York, NY 10004
Free ConsultationSecurities, Business, Collections and Construction
I am a Barrister, Attorney and Counselor-at-Law admitted in New York, United Kingdom (England & Wales) and Anguilla, BWI. I assist Start-Ups, Businesses, Corporations, Hedge Funds and Individuals with representation in Court, Drafting documentation or agreements and carrying out comprehensive Legal Due Diligence for potential business partners, investors, financial services, high net worth individuals and legal communities.
Marvin L. Frank
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Marvin L. Frank
New York, NY Securities Law Attorney with 30 years of experience
(800) 497-8076 305 Broadway
Suite 700
New York, NY 10007
Free ConsultationSecurities, Antitrust and Consumer
New York Law School
Robert R. Miller
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Robert R. Miller
New York, NY Securities Law Attorney
(212) 696-1999 350 Fifth Avenue
Suite 4640
New York, NY 10118
Free ConsultationSecurities, Business and Employment
New York University School of Law
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...
Brandon S. Schwartz
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Brandon S. Schwartz
New York, NY Securities Law Lawyer with 3 years of experience
(646) 844-5915 11 Broadway (Suite 615)
New York, NY 10004
Free ConsultationSecurities, Business and Entertainment & Sports
New York Law School
Brandon is the Managing Attorney at the Law Firm of Brandon S. Schwartz, P.C. Prior to founding the firm, Brandon worked in the Corporate practice of the New York office of DLA Piper, a global law firm, through a post-graduate fellowship program provided by the Two-Year JD Honors Program at New York Law School. During this experience, Brandon was involved in a broad range of corporate matters including corporate governance, due diligence, initial public offerings, and M&A transactions. Additionally, Brandon worked as an attorney and consultant for small and mid-size law firms, working on corporate and real estate matters, as...
Robert Van de Veire
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Robert Van de Veire
New York, NY Securities Law Lawyer
(212) 658-1852 28 Liberty St 30th Floor
New York, NY 10005
Free ConsultationSecurities, Arbitration & Mediation and Stockbroker Fraud
St. John's University School of Law
Darryl J. Bouganim
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Darryl J. Bouganim
New York, NY Securities Law Lawyer with 7 years of experience
(212) 943-1233 11 Broadway
#715
New York, NY 10004
Securities, Arbitration & Mediation, Employment and Stockbroker Fraud
Michigan State University
Darryl Bouganim is a securities attorney with an impressive track record in his representation of defrauded investors and securities industry employees with employment issues, having won awards and favorable verdicts against big securities brokerage firms. His practice focuses on securities fraud, commercial litigation, and securities employment or industry disputes. Mr. Bouganim provides top-notch legal representation to his clients in arbitration, court litigation, mediation, and regulatory matters.

Originally from Toronto, Canada, Mr. Bouganim relocated to the United States to practice law as part of his life mission to help others. Mr. Bouganim joined the Malecki Law team after a few years of...
Sandra P. Lahens
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Sandra P. Lahens
New York, NY Securities Law Attorney with 16 years of experience
(212) 696-1999 350 Fifth Avenue
Suite 4640
New York, NY 10118
Free ConsultationSecurities, Arbitration & Mediation, Business and Employment
Fordham University School of Law
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...
Joseph A. Gershman
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Joseph A. Gershman
New York, NY Securities Law Lawyer with 24 years of experience
(212) 684-0300 915 Broadway
#900
New York, NY 10010
Securities, Bankruptcy and Real Estate
Harvard Law School
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...
John R. Menz
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John R. Menz
White Plains, NY Securities Law Attorney with 35 years of experience
(914) 949-0222 1 N Lexington Ave
#1550
White Plains, NY 10601
Securities and Business
Columbia Law School
John R. Menz has represented corporate and individual clients in sophisticated legal matters concerning contract disputes, securities regulation, real property, product liability and employment law. He has litigated and arbitrated cases in a variety of forums, including federal courts, state courts, the American Arbitration Association, and the New York Stock Exchange. Mr. Menz offers corporate and individual clients a fluent understanding of the terms, conditions and strategies involved in complex financial transactions gained from his long legal experience and skills obtained as a former tax accountant at Price Waterhouse.

Mr. Menz has successfully defended claims against financial institutions in courts and...
Anthony George Mango
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Anthony George Mango
New York, NY Securities Law Lawyer with 27 years of experience
(877) 464-2889 225 W 34th St
#1919
New York, NY 10122
Free ConsultationSecurities, Business, Employment and Entertainment & Sports
St. John's University School of Law and St. John's University School of Law
Clem G. Turner
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Clem G. Turner
New York, NY Securities Law Attorney with 23 years of experience
(646) 393-4701 110 Wall Street
11th Floor
New York, NY 10005
Free ConsultationSecurities, Business, Entertainment & Sports and IP
Georgetown University Law Center
Joshua Neil Rubin
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Joshua Neil Rubin
Brooklyn, NY Securities Law Attorney with 36 years of experience
(917) 620-4102 135 Ocean Parkway
Brooklyn, NY 11218
Boston Univ School Of Law
Thirty years civil litigation practice in federal and state courts from inception through settlement or trial, including 22 years of class action litigation. Concentrating on ediscovery and related litigation technology since 1995. Focus areas: Litigation, ediscovery, technology-assisted review, data visualization, digital forensics, text analytics, natural language processing, image processing. Provide appropriate and proportional ediscovery solutions. Help other litigators and their clients conduct electronic discovery quickly, economically, and correctly; provide legal and technical advice and access to ediscovery hardware, software, and support personnel. Manage all phases of ediscovery, including Early Case Assessment, data mapping, collection, requests...
Adam J. Heckler
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Adam J. Heckler
New York, NY Securities Law Attorney with 8 years of experience
New York, NY 10118
Free ConsultationSecurities, Bankruptcy, Business and Employment
St. John's University School of Law
Mr. Richard Albert Luthmann Jr.
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Mr. Richard Albert Luthmann Jr.
Staten Island, NY Securities Law Attorney with 16 years of experience
(718) 447-0003 1811 Victory Boulevard
Staten Island, NY 10314
Securities, Business, Elder and Estate Planning
University of Miami School of Law and New York Law School
Ralph Stone
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Ralph Stone
New York, NY Securities Law Lawyer with 29 years of experience
(212) 203-4864 1700 Broadway
41st Floor
New York, NY 10019
Securities, Business and Stockbroker Fraud
University of Texas School of Law
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...
David S. Rich
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David S. Rich
New York, NY Securities Law Lawyer with 26 years of experience
(212) 209-3972 155 East 44th Street
Sixth Floor
New York, NY 10017
Securities, Appeals, Business and Employment
Columbia Law School
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...
Steven Cramer
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Steven Cramer
New York, NY Securities Law Lawyer with 27 years of experience
(212) 684-0300 915 Broadway
#900
New York, NY 10010
Securities, Arbitration & Mediation, Business and Construction
Brooklyn Law School
Steven Cramer is a partner at Rich, Intelisano & Katz, LLP. He focuses in the areas of commercial, construction and real estate litigation and arbitration, as well as counseling clients in contract negotiation and other transactions. Mr. Cramer’s clients include owners, contractors, private equity funds, design professionals, sureties, cooperatives and condominiums, and other businesses as well as individuals. Mr. Cramer was recognized as a "Super Lawyer" in the field of Construction Litigation in 2010.

Prior to Rich, Intelisano & Katz, LLP, Mr. Cramer served as a partner at Bauman Katz & Grill LLP, and an associate at Ross & Cohen and...
Wallace Anthony Showman
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Wallace Anthony Showman
New York, NY Securities Law Lawyer with 31 years of experience
(713) 860-1600 460 Park Avenue
21st Floor
New York, NY 10022
Securities, Antitrust, Business and Consumer
New York University School of Law
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.
Roman Begelfer
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Roman Begelfer
New York, NY Securities Law Attorney
(646) 948-9555 353 West 48th Street
4th Floor
New York, NY 10036
Free ConsultationSecurities, Business, Immigration and Trademarks
Boston University and Israeli College of Managment, School of Law
Michael S. Komar
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Michael S. Komar
White Plains, NY Securities Law Attorney with 38 years of experience
(914) 949-0222 1 N Lexington Ave
#1550
White Plains, NY 10601
Securities, Business and Insurance Defense
Cornell University

Michael S. Komar has almost twenty-five years of experience handling complex insurance coverage and commercial litigation matters. Mr. Komar's insurance coverage litigation experience has included handling dozens actions involving pollution, asbestos, silica, lead paint, toxic tort, construction defect, general liability and California Prop. 64 and 65 claims, in addition to representing insurance clients in prepackaged bankruptcy, reinsurance, broker liability and first-party property disputes. Many of the coverage actions defended by Mr. Komar involved claims not only for declaratory judgment and breach of contract, but also bad faith and unfair claim handling practices.

Mr. Komar has developed an intimate working knowledge of...
John M. Giordano
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John M. Giordano
New York, NY Securities Law Attorney with 37 years of experience
(212) 684-0300 915 Broadway
#900
New York, NY 10010
Securities, Business, Construction and Employment
Maurice A. Deane School of Law at Hofstra University
John M. Giordano is Of Counsel to Rich Intelisano & Katz. He brings over 30 years of experience, skill and knowledge to a broad array of legal matters. His practice areas include Business, Construction, Employment, International, Real Estate, and Securities Law. Mr. Giordano is committed to providing proactive, creative, and client-focused advocacy.

Mr. Giordano obtained his B.A. at Ithaca College. He earned his J.D. from Hofstra University School of Law. Mr. Giordano's jurisdictions include the State of New York and the United States District Courts in the Southern, Northern and Eastern Districts of New York.
John Tollefsen
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John Tollefsen
New York, NY Securities Law Attorney with 46 years of experience
(212) 964-1960 5 Penn Plaza, 23rd Floor
New York, NY 10001
Securities, Appeals, Bankruptcy and Business
Suffolk University, Willamette University and University of Washington School of Law
John is a international lawyer with multiple post graduate degrees from both U.S. and European schools. He is a certified Fraud Examiner and Certified Controls Specialist. He has extensive multifaceted experience in business law and litigation.
Daniel E. Katz
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Daniel E. Katz
New York, NY Securities Law Lawyer with 40 years of experience
(212) 684-0300 915 Broadway
#900
New York, NY 10010
Securities, Arbitration & Mediation, Business and Construction
Brooklyn Law School and University of Michigan Law School
Daniel E. Katz is a Founding Partner of Rich, Intelisano & Katz, LLP. He specializes in construction law, commercial law and securities and employment arbitrations. Mr. Katz has received the highest designation (A-V) from the Martindale-Hubbell Peer Rating Review. He was recognized as a "Super Lawyer" in the field of Construction Litigation every year since 2006. He is also a Fellow in the Construction Lawyers Society of America, which is a nationwide organization of leading practitioners in the field.

Mr. Katz obtained his Juris Doctor magna cum laude from Brooklyn Law School. He graduated from the University of Michigan with a...
August M. Iorio
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August M. Iorio
New York, NY Securities Law Attorney with 9 years of experience
(855) 430-4010 1 World Trade Center
85th Floor
New York, NY 10004
Free ConsultationSecurities, Arbitration & Mediation and Stockbroker Fraud
Seattle University School of Law
August Iorio is Partner at Iorio Altamirano LLP, a securities arbitration law firm in New York, New York.

Iorio Altamirano LLP is a highly-skilled, client-focused law firm with the experience, judgment, and vision to achieve favorable outcomes for its clients. Iorio Altamirano LLP's primary practice area is securities arbitration, where it represents investors nationwide who have suffered investment losses due to wrongful conduct by financial advisors and brokerage firms.

Iorio Altamirano LLP has nearly 20 years of combined experience as securities arbitration lawyers and has helped individual investors, groups of individuals, business entities, family offices, credit unions, and institutional investors recover...
Mark Zafrin
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Mark Zafrin
New York, NY Securities Law Attorney
(212) 730-7700 800 Third Avenue
24th Floor
New York, NY 10022
Securities, Business, Health Care and Real Estate
New York University School of Law and St. John's University School of Law
Mark Zafrin has over thirty years of transactional experience and handles a broad range of matters for clients in the Healthcare & Pharmaceutical and Financial Services industries. He possesses in-depth knowledge of FHA and conventional mortgage financing, mezzanine and private equity financing and healthcare Certificate of Need applications. He has vast experience representing clients in extremely complex and difficult mergers and acquisitions of healthcare facilities, hospitals, federally financed clinics, ambulatory surgery centers and large physician practice groups. As General Counsel, Mr. Zafrin advises and assists his clients, ranging from nursing homes to assisted living centers and clinics (including primary care...
David C. Casagrande
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David C. Casagrande
New York, NY Securities Law Lawyer
111 John St
#1100
New York, NY 10038
Free ConsultationSecurities and Stockbroker Fraud
Benjamin N. Cardozo School of Law
Michael J. DeRienzo
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Michael J. DeRienzo
New York, NY Securities Law Lawyer
(866) 966-9598 360 Lexington Ave
#1400
New York, NY 10017
Securities, Arbitration & Mediation and Stockbroker Fraud
Villanova University School of Law
Elena Volkova
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Elena Volkova
New York, NY Securities Law Lawyer with 18 years of experience
(877) 250-9364 233 Fifth Avenue
Suite 4A
New York, NY 10016
Securities, Business, Estate Planning and International
Fordham University
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