Robert I. RabinowitzShareholder Additional Location : New York |
PracticesEducation
Bar Admissions
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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, investment advisers and their representatives 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 and is a member of FINRA Dispute Resolution’s panel of industry arbitrators. Prior to joining the firm, 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 related issues, including general corporate and employment matters, and was a senior member of the firm’s management team. Robert’s duties also included the oversight of corporate and SEC-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. Robert recently founded the Investor Literacy Project; a seminar experience for the individual investors which provides basic knowledge and information concerning investors’ rights and responsibilities in dealing with financial professionals. It’s mission is to arm investors with the tools to effectively manage the investment process and avoid becoming a victim of fraud and abuse by unscrupulous financial professionals. EXPERIENCE
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PROFESSIONAL / COMMUNITY ACTIVITIES
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