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Regulatory Proceedings

We have a great depth of experience representing public and private companies, officers and directors, securities firms and their registered professionals in a wide range of regulatory proceedings including:

  • NYSE and FINRA securities arbitrations;
  • federal and state commercial litigation;
  • Nasdaq delisting proceedings;
  • securities related employment and customer disputes, and
  • SEC, NYSE and FINRA investigations, enforcement actions and regulatory proceedings.

These matters range from the garden variety investment claims to sophisticated securities fraud actions and enforcement proceedings involving:

  • 10b-5 claims;
  • officer and director liability;
  • improper disclosure;
  • market manipulation
  • trade reporting violations;
  • failure to supervise;
  • clearing and trading irregularities;
  • research conflicts of interest;
  • sales practice rule violations;
  • employment and promissory note disputes; and
  • corporate raiding.
Name Title Phone V-Card Email Office
Brian Daughney Shareholder 212.599.3322 New York
Victor J. DiGioia Office Managing Partner, New York 212.599.3322 New York
Steven L. Glauberman Shareholder 212.599.3322 New York
Michael A. Goldstein Shareholder 212.599.3322 New York
Stanley R. Goldstein Shareholder 212.599.3322 New York
Sarah Klein Attorney 212.599.3322 New York
Robert I. Rabinowitz Shareholder 732.842.1662 Red Bank