Robert I. Rabinowitz

Overview

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, as well as securities arbitration claims through FINRA Dispute Resolution Services.

He represents brokerage firms, investment advisers 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 both claimants and respondents in securities arbitration and mediations as well as plaintiffs and defendants in civil court and administrative law proceedings. For the past 20 years, Robert has also served as a member of FINRA Dispute Resolution’s panel of industry arbitrators.

Robert is credited with creating the firm’s very successful arbitration defense program called the Gap Customer Arbitration Program (GCAP). GCAP is designed to assist small to mid-sized broker/dealers, investment advisers and their Registered Representatives who are covered by professional liability (errors and omissions) insurance coverage, with legal defense in customer arbitrations related to transactions and services provided during the coverage period.

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 approach to litigation and enforcement is informed by his long experience as an in-house legal leader for a major financial services provider and now as outside counsel to many financial institutions.

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 is the founder of 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. Its 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. Robert was recently featured in a major expose in The New York Times which covered his client’s story of being victimized by on-line scammers and the financial institutions that failed to maintain proper guardrails to keep their clients’ investments safe from fraudsters.