Our attorneys are well-versed in the issues that affect our clients in every sector of the financial services industry and have significant experience in handling high-profile matters.
Pastore attorneys regularly serve as counsel in securities cases, representing broker-dealers, issuers, specialists, market makers, transfer agents, underwriters, hedge funds, investment advisors, venture funds, insurers and investors in state and federal courts as well as in (FINRA) arbitrations. Our attorneys have an active practice advising broker-dealers on a wide range of issues including the issuance of securities, regulatory investigations, customer inquiries, general brokerage and sales practices and corporate transactions (such as formation, purchases, and sales of broker-dealers, hedge funds and investment advisors). Our experience includes representing the nation’s largest specialist firm, the nation’s largest transfer agent, leading brokerage firms, hedge funds and venture funds and the nation’s largest mortgage lender.
Our attorneys have been general counsel of large Wall Street brokerage firms, and our partners are veterans of the New York Stock Exchange, Inc., Skadden Arps Slate Meagher & Flom LLP, Proskauer Rose LLP, Kelley Drye & Warren, McDermott Will & Emery, Paul Weiss Rifkind Wharton & Garrison LLP, Mayer Brown LLP, and other highly respected Wall Street law firms and financial services companies. One of our Partners also served for four years on the Board of Directors, Regulatory Oversight Committee (including a term as Chair) and the Nominating & Governance Committee of Direct Edge, a national securities exchange.
Our securities attorneys have extensive knowledge of federal and state securities laws as well as FINRA and NYSE rules. This experience enables us to provide advice on disclosure and regulatory matters, and to assist clients in all aspects of preparation and processing of registration statements and ongoing reporting requirements. Our attorneys have significant experience in representing clients on regulatory matters involving both FINRA and the SEC.
Among a number of notable cases, our attorneys have handled some of the seminal securities industry litigation over the last decade, including one of the most extensive and complex securities arbitrations in the nation as well as claims involving the ownership of securities trading systems, residential mortgage backed securities, structuring and stock loan disputes. Our attorneys have handled regulatory investigations involving some of the most sophisticated new securities offerings, such as SPAC. Pastore offers expertise in high-profile broker-dealer and fund disputes as well as bank conversion litigation, reinsurance litigation and arbitration and bankruptcy litigation.