Stanley R. Goldstein joined Becker & Poliakoff in June 2007 where he continues to specialize in broker-dealer formation, acquisition and compliance; capitalization and development of new business ventures; and regulatory and securities litigation. Prior to joining the firm, Mr. Goldstein was the senior partner of Goldstein & DiGioia, LLP, a boutique corporate and securities law firm that he founded in 1981.
Stanley has established a reputation as the “go-to” attorney for registered representatives and others and others desiring to establish their own broker-dealer. He has extensive experience in broker-dealer regulation including compliance counseling, 1017 applications, MC 400 proceedings, Forms U-4 and U-5 disclosures, and membership applications.
Stanley has a comprehensive corporate background resulting from more than 25 years of experience representing public and privately owned corporations involved in public offerings, private placements, acquisitions and mergers. His clients range from start-ups to seasoned public corporations engaged in industries as diverse as technology to defense manufacturing.
Stanley regularly represents broker-dealer clients and associated persons in litigation, arbitration and regulatory enforcement proceedings. He also advises broker-dealer clients in connection with regulatory inquiries and internal compliance reviews.