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...
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 […]
Areas of Focus:
Corporate
Ex-officer with Woodbury Brokerage Firm Indicted in Fraudulent Investment Scheme, Feds Say
05.22.2015
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 […]
