Search for "Securities Industry and Financial Markets Association"

A resident of Oakland, Len spent much of his legal career with prestigious, top-ranked, San Francisco law firms. Mr. Watkins brings the same level of expertise, and standard of excellence, to his practice in the East Bay. Focusing on consumer bankruptcy and business law, Mr. Watkins’ depth of experience and training include: A Masters of Business Administration, concentrating on finance, from the University of California, at Davis A stock brokerage license (inactive) from the National Association of Securities Dealers A California Real Estate Broker’s license Previous Experience Business Attorney Norris & Norris (now...

I have been practicing law for 25 years and currently engage in a broad legal practice that includes advising individual clients regarding consumer financial services law, consumer protection, debtor’s rights and in connection with credit card debt, mortgages and other consumer loans. I represent clients in consumer class actions and commercial litigation. During my career on Wall Street, I advised many of the world’s leading commercial banks and their securities broker/dealer affiliates on compliance issues and represented them in connection with key financial services reform legislation pending in the U.S. Congress (Graham-Leach Bliley Act, Dodd Frank Act). ...

Sam represents members of the financial services, banking, and securities industries in general white-collar matters, including business disputes and defense against fraud actions. Sam also defends medical professionals in medical malpractice actions and start-up and established companies in intellectual property, branding, and false advertising disputes.

In the transactional realm, Sam maintains a sports and entertainment practice and represents athletes, franchises, and talent brokers in the entertainment, sports, and technology industries. In this area, Sam advises his sports and entertainment clients on a wide range of legal issues, including intellectual property, contract, labor union law, employment contract arbitration, and marketing/branding. Sam has...

Has the thought of putting together an estate plan, trust , will, living will or power of attorney drain you? Do you need a guardianship for a loved one and don't know where to turn? Is the estate you need to administer or are about to probate making your life hectic? Has your family put you in charge of sorting a difficult family situation and you don't know where to turn or even the questions to ask? Do you need a plan for the future for yourself or a loved one that you have been putting off until now? Have you lost money due...

Attorney Matthew Wolper earned his undergraduate degree from Florida State University before going on to earn his law degree from Nova Southeastern University. There, he graduated summa cum laude (top 2 percent in his class) and was a member of the Nova Law Review. He has dedicated his law career to investment law, representing wronged investors and brokerage employees. Prior to forming Wolper Law Firm, he was a partner with a national law firm. He worked there for the first fourteen years of his legal career, representing brokerage firms and big Wall Street banks in massive securities matters. The complexity...

As a partner at Shepherd Smith Edwards & Kantas LLP (SSEK Law Firm), Kirk G. Smith focuses his practice on securities law. Representing individual and institutional investors against banks, brokerage firms and trust companies, Mr. Smith generally handles cases involving issues such as retirement losses, broker and brokerage firm misconduct, investment derivatives, fraud and financial product failures. He serves clients throughout the U.S.

Before earning a Juris Doctor from the South Texas College of Law Houston, Mr. Smith attended Loyola University New Orleans. He graduated with a Bachelor of Arts.

Previously working as an investment advisor for a large brokerage firm and...

Engaged in a private law practice informed by a 25-year prologue career as a Fortune 500 executive with companies in aerospace, biotech, chemical, comm, defense, medical and pharma businesses worldwide; Former executive at Alliant Techsystems, Inc. (formed by M&A of Honeywell and Hercules companies), CP Kelco ApS (formed by M&A of Monsanto and Hercules companies then sold to JM Huber), Hercules Incorporated (acquired by Ashland, Inc.) and the Whittaker Corporation (acquired by Meggitt PLC et al), most recently with Lehman Brothers Holdings Inc. portfolio company; Corporate leadership roles have included Chief Development Officer, Senior Vice President, Managing Director, Corporate Secretary, Vice President...

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...

Courtney Scobie’s practice focuses on complex commercial litigation in state and federal courts, arbitration, and federal government investigations. Her experience includes a fraud and theft case on behalf of a large technology company, a breach of fiduciary duty and legal malpractice case on behalf of a real estate investment trust, copyright infringement and trade secret misappropriation cases against a leading enterprise software company, an SEC investigation and a securities class action involving alleged accounting improprieties, several CFTC investigations involving the crude oil and natural gas liquids markets, contract and insurance disputes in the energy and petrochemical industries, product liability and...

Jason Plotkin joined the Pinder Legal Team in 2012. He also teaches Business Law at Howard Community College in Columbia, Maryland. Prior to joining the Pinder Legal Team, Jason spent two years investigating Insider Trading in the Office of Fraud Detection and Market Intelligence at the Financial Industry Regulatory Authority (FINRA). Prior to joining FINRA, he spent four years at a law firm representing broker-dealer clients in connection with public and private securities offerings. Jason is a former Judicial Extern for the Honorable Stephen D. Gerling of the United States Bankruptcy Court, Northern District of New York. He is also a former...

Mike Dal Lago, the founder of Dal Lago Law, has more than 20 years of experience providing customized and comprehensive legal business solutions for businesses in Southwest Florida worth $1.5 million and more. He has consistently been recognized in Florida Trend’s prestigious Legal Elite list, and is an AV Preeminent® Peer Review Rated attorney by Martindale-Hubbell®, the highest rating an attorney can receive for their professional ethics and legal ability by their peers and judiciary. Mike is admitted to practice law in Florida, New York and New Jersey.

With broad experience in an array of industries including...