North Norwich Securities Lawyers

Thomas P. Setser, a Senior Associate in Tully Rinckey PLLC’s Rochester office, possesses extensive courtroom experience in all matters of litigation, having served the last 19 years as a military defense counsel, civilian counsel and Assistant District Attorney.

Prior to joining Tully Rinckey, Thomas began his legal career as U. S. Navy Judge Advocate, where he served on active duty as a military defense counsel, legal assistance attorney, discipline officer and brig officer. Upon leaving active duty, he opened his own legal practice as a solo practitioner and continued his military service as a Navy Reservist. After a one-year...

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...

I am a New York-based corporate lawyer with more than 15 years of experience representing middle market public companies, particularly in technology, retail, mining and energy businesses, in securities law compliance and corporate governance matters, financing transactions and corporate acquisitions and mergers. I have guided several dozen U.S. public companies and foreign private issuers in complying with federal securities law periodic reporting requirements and new regulations including the JOBS Act, the Dodd-Frank Act and the Sarbanes-Oxley Act. I also advise major shareholders and corporate insiders in resales of restricted securities, estate planning transactions involving public company stock and compliance with insider...

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...

I help domestic and international businesses and their directors and officers resolve complex commercial litigation disputes through practical and economical pre-suit negotiations and, if necessary, litigation (federal and state), arbitration, and mediation.

For all of my clients, I strive to understand their businesses as well as they do and work efficiently to achieve their desired outcomes hopefully without need for litigation. All of my clients have come to expect that I will provide frank but value-added legal advice that empowers them to consider salient risks and act decisively.

I have successfully represented clients in a wide range of disputes involving corporate...

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.

I enjoy advising companies and identifying solutions to complex business and legal problems. My intimate knowledge of corporate/real estate law, investment banking, and private equity has positioned me to serve as outside general counsel to dozens of startups, middle-market, and enterprise clients over the last decade. I've also provided guidance to several tech companies in their sale to large cap businesses, and have closed some of the largest commercial real estate transactions.

Prior to law practice, I worked in finance for several years as both an investment banker and consultant with a focus on M&A. I enjoy working with founders and...

Gerard Romski serves as Of Counsel at Rich, Intelisano & Katz, LLP. Mr. Romski practices in the areas of construction litigation, real estate and land use law, commercial law and government relations.

Mr. Romski holds a Bachelor of Arts from the New York Institute of Technology and received his Juris Doctor degree from Brooklyn Law School. He is a member of the bar of State of New York and is admitted to practice before the United States District Court for the Southern and Eastern District of New York and the Second Circuit Court of Appeals. Mr. Romski is on the Board...

Mr. Dailey represents businesses and business owners in disputes that arise out of mergers and acquisitions, disagreements between owners, damaged customer or client relationships, improper actions taken by competitors, or investigations by regulators such as the SEC or PCAOB. Over the years he has become known for his ability to explain complex transactions and relationships in plain language that average people and judges understand.

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...

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.

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...

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...

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...

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...

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...

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,...

Mr. Robbins is a partner in the New York City law firm of Kaufmann Gildin & Robbins LLP and specializes in commercial arbitration and mediation. He represents investors, brokers and firms in disputes and brokers and firms before regulatory agencies. He is also an expert witness in malpractice cases arising out of securities arbitrations. He and his firm have been responsible for the return of tens of millions of dollars to investors and have represented many brokers accused of wrongdoing in arbitrations and regulatory matters. Mr. Robbins served as Special Deputy Attorney General...

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

A former investigative journalist, Mark is a successful anti-fraud attorney with more than twenty years of experience in complex civil litigation. He has represented qui tam whistleblowers under the False Claims Act as well as victims of fraud under the federal securities laws and the Racketeer Influenced and Corrupt Organizations Act (RICO). His efforts have resulted in the recovery of hundreds of millions of dollars for clients.

Prior to founding Mark A. Strauss Law, PLLC, Mark was a partner at Kirby McInerney LLP, a respected plaintiffs’ class action firm that was named one of the “Most Feared Plaintiffs’ Firms” by Law360.com....

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...

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.

• 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,...

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...

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...

Neil M. Kaufman is the managing member of Kaufman McGowan PLLC, Long Island’s Corporate & Securities Law Firm™ and Corporate & Securities Counsel to the Cannabis Industry™. He is a leading corporate cannabis lawyer in New York and the USA and a fixture of the New York and Long Island corporate and securities legal community. Mr. Kaufman represents emerging growth, middle market and public companies and investment firms in their corporate, securities, financing, borrowing, merger & acquisition and other legal matters. Mr. Kaufman advises clients with respect to SEC regulation, public offerings, private placements and mergers & acquisitions, as well as...

I am a Partner at Iorio Altamirano LLP, a securities arbitration law firm in New York City. We represent 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. We have helped individual investors, groups of individuals, business entities, family offices, credit unions, and institutional investors recover nearly $100 million in investment losses.

I have handled hundreds of FINRA arbitration claims and have worked closely with retail and institutional investors. I combine my broad experience in the securities arbitration field with...