Perspectives

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Opening the Flood Gates

REQUIREMENTS FOR SWIMMING POOL OPENINGS IN NEW JERSEY EXECUTIVE ORDER 153 and DEPARTMENT OF HEALTH STANDARDS On June 9, Governor Murphy announced that public swimming pools, including community association pools, may open on June 22, 2020, provided compliance with all requirements to be set forth by the standards of the New Jersey Department of Health […]

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Becker Attorneys Win Dismissal of New Jersey Action on Jurisdictional Grounds

On April 30, 2020, a New Jersey state Superior Court judge dismissed with prejudice a complaint against a Mexican resort owner filed by a guest in connection with an incident that allegedly occurred at the resort. Becker attorneys Robert Rabinowitz and Sarah Klein represented the defendant in the case. The case was filed in New […]

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BeckerNorth Newsletter – April 2020

As you know, we have been frequently communicating to you during this period of crisis to offer our support and advice on the numerous issues confronting all of us. Fortunately, we have had the necessary infrastructure in place since the beginning, which has allowed us to continue to provide uninterrupted, high-level service to our clients […]

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COVID-19 and FINRA Arbitrations – FINRA Announcement on Postponements

Due to COVID-19, the Financial Industry Regulatory Authority said Monday that it has postponed all in-person arbitration and mediation proceedings scheduled through July 3. Parties that have an in-person hearing or mediation session scheduled through this date will be contacted by FINRA staff to reschedule or discuss remote scheduling options. Previously, in-person proceedings were postponed […]

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It Pays to Pay Attention to Your Brokerage Account Statements

FINRA, the financial industry regulatory authority, often reminds investors to review their brokerage account statements and trade confirmations—with good reason. Not only do these documents help you stay on top of your investment holdings, but they also provide valuable information that can alert you to errors, or even misconduct by your broker or brokerage firm […]

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Borrowing from Retirement Accounts and 401(k) Plans During COVID-19 Economic Crisis

If you or your business has been adversely financially impacted by the COVID-19 pandemic and the associated economic downturn being experienced all across the globe, there may be some available relief. The recently enacted CARES Act revised some of the restrictions ordinarily in place on borrowing and making withdrawals from retirement plan accounts during the […]

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“FINRA Set To Revise Code of Arbitration Procedure To Preclude Non-Attorneys From Representing Parties in Arbitration Cases,” New York Law Journal

The Financial Industry Regulatory Authority (FINRA), which regulates brokerage firms and their associated persons in the United States, also sponsors the largest forum for securities dispute resolution in the country. A majority of brokerage firms today require their customers to enter into an agreement which, among other things, requires that customers who have a dispute […]

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Robert Rabinowitz Recognized as Among Monmouth County’s Top Lawyers

Congratulations to Robert I. Rabinowitz, who has been selected as one of Monmouth County’s Top Lawyers of 2019. For the second consecutive year, Robert is listed as among the top of his field in Securities Law. The annual listing is comprised of the region’s most prominent attorneys who are selected through peer review across more […]

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Becker Secures Punitive Damages on Behalf of Several Clients

Did you know Becker has secured punitive damages and attorneys’ fees under the New Jersey Consumer Fraud Act for several clients over the past two years? For those of you who don’t know, punitive damages are assessed to punish the defendant for outrageous conduct such as fraud, and are typically awarded only in very special […]

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“NJ Broker Found Guilty of Insider Trading,” ThinkAdvisor

Shareholder Robert Rabinowitz spoke to ThinkAdvisor regarding The Securities and Exchange Commission winning a jury trial in U.S. District Court, Atlanta against Raymond Pirello Jr. He was found guilty on all five SEC claims, last serving as a FINRA-registered broker for Garden State Securities in Red Bank, New Jersey. When asked if the firm Garden […]

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Robert Rabinowitz and Sarah Klein Successfully Oppose Motion for Summary Judgment

Robert Rabinowitz and Sarah Klein successfully opposed a motion for summary judgment in a regulatory proceeding on behalf of a securities broker who is facing a serious fraud charge in connection with activities as a bond trader. This victory will allow the case to proceed to a final hearing where the client will be permitted […]

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Monmouth County’s Top Lawyers 2018

Congratulations to Robert I. Rabinowitz, who has been selected as one of Monmouth County’s Top Lawyers of 2018. Robert is listed as among the top of his field in Securities Law. The annual listing is comprised of the region’s most prominent attorneys, selected through peer review, across more than 28 practice areas. A shareholder in […]

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Corporate Practice Group’s New Offering Provides Legal Defense for Broker Dealers and Registered Reps

Robert I. Rabinowitz Shareholder Corporate Practice Group Becker’s Broker/Dealer Gap Customer Arbitration Plan (“GCAP”) is a new practice area offering from the Corporate group. Spearheaded by Robert Rabinowitz, GCAP provides legal defense for Broker/Dealers and their Registered Representatives for customer arbitrations. The Plan is designed to supplement the Broker/Dealer’s E&O policy. Click here to learn […]

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Big Arbitration Victory on Behalf of Client of Becker & Poliakoff’s Corporate Group

Robert Rabinowitz and Sarah Klein of Becker & Poliakoff’s Corporate Law Practice Group scored a big win on behalf of one of their clients, a registered broker-dealer based in New York City. A former technology vendor sued our client for fees totaling $9.9 million alleging breach of a trading platform license agreement. The vendor claimed that our client owed license […]

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Ex-officer with Woodbury Brokerage Firm Indicted in Fraudulent Investment Scheme, Feds Say

By Robert E. Kessler and Gary Dymski  A Seaford man, formerly the chief compliance officer at a Woodbury  brokerage firm, conspired to defraud investors of more than $500,000, federal prosecutors said Thursday. William Michael Quigley, ex-chief compliance officer of Trident Partners, a registered broker-dealer, is charged in a two-count indictment with conspiracy to commit wire […]

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