James A. Nofi

James A. Nofi

  • Business Law, Employment Law, Securities Law...
  • Georgia, New York
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Claimed Lawyer Profile
Practice Areas
  • Business Law
  • Employment Law
  • Securities Law
  • Stockbroker & Investment Fraud
Jurisdictions Admitted to Practice
Georgia
New York
Professional Experience
Partner
Page Perry, LLC
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Represented customers in securities arbitrations, brokers in employment disputes and arbitrations, and brokers, brokerage firms, and investment advisers in regulatory investigations and proceedings.
Trial Counsel
New York Stock Exchange, Inc.
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Conducted securities industry investigations and prosecutions for Enforcement Division in the areas of sales practice (unauthorized, unsuitable, and excessive trading), financial/operational areas (net capital and customer protection), and trading matters (market maintenance, market manipulation, and other trading violations).
Education
New York University School of Law
J.D. | Law
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Honors: Recipient of John L. Reback - Class of 1916 Scholarship, Moot Court Board -- Research Editor
New York University
B.A. | History
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Honors: Phi Beta Kappa, University Scholar, Joseph H. Park History Honor Society, Founders Day Award
Professional Associations
Atlanta Bar Association
Member
- Current
State Bar of Georgia
Member
- Current
Securities Industry and Financial Markets Association Compliance and Legal Division
Member
- Current
The New York City Bar Asociation
Member
- Current
American Bar Association
Member
- Current
New York State Bar # 1790567
Member
- Current
Publications
Articles & Publications
The Challenges of Hedge Fund Regulation After the Pequot Investigation and Goldstein v. SEC
Practicing Law Institute - Securities Arbitration 2007
The Enforcement Role of the New York Stock Exchange
85 Northwestern University Law Review 637
Contact & Map
Law Office of James A. Nofi, LLC
3003 Summit Boulevard
Suite 1400
Atlanta, GA 30319
USA
Telephone: (404) 684-8844
Fax: (678) 303-9387