Robert I. Rabinowitz joined Becker & Poliakoff in February 2009 in the corporate and securities practice group in New York and New Jersey. Robert’s practice centers on legal and regulatory guidance in the formation and registration of broker/dealers and investment advisers, and representation of broker/dealers and investment advisers with respect to regulatory and compliance related matters. He represents brokerage firms and their associated persons in connection with regulatory investigations and disciplinary proceedings before the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”). He also specializes in representing parties in securities arbitration and civil court proceedings.
During the previous twenty two years, Robert was the general counsel for a national, independent broker/dealer and registered investment adviser. His duties included managing the brokerage firm’s regulatory compliance and corporate governance functions, providing advice and guidance to management on federal, state and self regulatory organization compliance and regulatory issues, including general corporate matters and assisted with the management of the firm’s business operations. His responsibilities included representing the firm in regulatory investigations and proceedings as well as civil litigation and arbitrations.
Robert's duties also included the oversight of corporate and S.E.C.-related matters of the firm’s publicly traded parent company, including the preparation and filing of all Securities Act reports; administration of annual shareholder meetings, and annual report and proxy filings; attendance at board and shareholder meetings and providing advice and counsel to the board of directors and committees of the board; directing all shareholder communications; administering the Company’s stock option plan; and developing and managing, corporate governance policies and procedures for the public company.
At the same time, Robert maintained a small private law practice with emphasis on broker/dealer and investment adviser formation, regulation and compliance; securities arbitration, litigation, mediation and regulatory matters; Securities Act and Exchange Act reporting and filings, disclosure and offerings; life health and annuity insurance practice; general corporate practice, including, corporate formation, governance and shareholder matters. He also conducted commercial and residential real estate transactions.
Activities & Memberships
- Member of the Board of Arbitrators-FINRA’s Office of Dispute Resolution, chairperson and industry panel member for securities and employment-related disputes.
- Former member of the Supreme Court of New Jersey District IX Ethics Committee (September 2008-August 2011).
- Holds the following securities and investment adviser registrations:
- General Securities Representative (FINRA Series 7)
- Registered Securities Principal (FINRA Series 24)
- Registered Investment Adviser (FINRA Series 65)
- Uniform State Law Agent Registration (FINRA Series 63)
- Broker-Dealer Conflicts Disclosure: What’s Coming and How to Prepare-
BD Week Webinar, December 2012
- Emerging Trends in Conflicts Management: Challenges for Current Practitioners and Aspiring Attorneys
Seaton Hall University School of Law, January 2013
The First Criminal Conviction for Spoofing Is Handed Down, CorporateCounsel, November 5, 2015