Newington Securities Lawyers

www.KBLpc.com.

I handle a wide variety of transactional corporate and securities law matters for institutional and individual investors, investment funds and their managers, as well as for public and private operating companies. My practice focuses on hedge fund, private equity, venture capital fund formation and operational issues, and illiquid investment transactions, with particular emphasis on advising private domestic and offshore capital pools and their stakeholders. I also advise investment advisers, fund managers, and operating companies on state, federal, and international compliance and enforcement considerations. My investor clients include individuals on the Fortune 400, family offices, ERISA-regulated investors, funds of funds, and...

I have been respresenting investors for more than 30 years in Court, Arbitration, and through alternative dispute resolution fora. I have offices in Connecticut and Florida, and pride myself in having user friendly fees, and being prudent about the virtues of jurisprudence!

WE REPRESENT CLIENTS IN THE FIELDS OF INVESTMENT FRAUD AND BUSINESS LAW. OVER THE PAST 25 YEARS, WE HAVE RECOVERED MILLIONS OF DOLLARS FOR OUR CLIENTS THROUGHOUT THE NORTHEAST. Andrew C. Cote, LLC is a boutique law firm representing individuals, families, securities professionals and businesses in securities fraud and business law. Andrew Cote's experience may be unique combining eighteen years as a securities, corporate and business attorney with a further nine years as a Registered Investment Adviser and Senior Executive in a brokerage firm. He has an invaluable insider knowledge of the securities industry - experience not offered...

I work with companies, nonprofits, healthcare entities, and individuals to help them with their business and regulatory needs. I form companies, prepare owner agreements, create form agreements for clients to use in their businesses, draft and review contracts with vendors, employers and customers, and provide general legal counselling. I also provide transactional legal services for commercial loans, mergers and acquisitions, and other transactions. Working with business owners is a real pleasure for me; I enjoy being part of the team that helps these companies succeed. I also help investment advisers with compliance, formation and general business law issues.

J. Alexander Bates is the founder and managing partner of The Bates Law Firm. His practice involves representing clients in immigration law matters. He is currently licensed in New York.

At the Bates Law Firm we are dedicated to helping you achieve your goals. Please call us a +1 (203) 252-7374 or visit our web site: http://www.bateslegal.com.

Ross B. Intelisano is a founding partner of Lax, Neville & Intelisano, LLP. He represents individual and institutional investors in securities arbitration and litigation against financial firms, employees in industry disputes, employees in transitions from one financial firm to another, and employees in self-regulatory organization investigations. Ross has over two decades of experience trying large and complex financial fraud cases on behalf of investors worldwide, including winning the largest arbitration award ever against Goldman Sachs. His clients include high net worth individuals, family offices, hedge funds, funds of funds, endowments, non-profits and other institutions in claims against...

Barry R. Lax, a founding partner of Lax & Neville LLP, has an extensive background in commercial, employment and securities litigation in all forums, including, state and federal courts, and arbitrations before the Financial Industry Regulatory Authority, Inc. (“FINRA”), National Futures Association (“NFA”), Judicial Arbitration and Mediation Services (“JAMS”) and the American Arbitration Association (“AAA”). Since forming Lax & Neville LLP in 2007, Mr. Lax has represented customers and broker/dealers in disputes regarding sales practice issues and product problem cases and has successful represented hedge fund investors and general partners in complicated commercial and securities litigations throughout his career....

Brian J. Neville, a founding partner of Lax & Neville LLP, has significant experience in broker/dealer, securities, regulatory defense, employment and commercial litigation in arbitration forums and state and federal courts. He has arbitrated cases in at least 18 states and has been lead counsel on well over 500 matters.

Joseph A. Gershman is a partner of Lax, Neville & Intelisano, LLP. His practice focuses on complex commercial, securities, real estate and bankruptcy litigation. Mr. Gershman is rated by Martindale-Hubbell Peer Review Ratings as an AV Preeminent attorney, its highest designation, with his peers recognizing him as “an excellent lawyer” and “an outstanding litigator”. He is also a recipient of The Legal Aid Society’s 2013 Pro Bono Publico Award for outstanding service to the Society and its clients. Mr. Gershman has extensive experience within the areas of complex commercial, securities, real estate and bankruptcy litigation, as well as...

Robert R. Miller is an associate at Lax, Neville & Intelisano, LLP with a practice primarily in securities, employment, and corporate disputes before the Financial Industry Regulatory Authority (“FINRA”) the American Arbitration Association (“AAA”), and state and federal courts. He represents individual investors in their claims against brokers, broker-dealers, and wealth managers for abusive customer sales practices, such as fraud, churning, unsuitability, and breach of fiduciary duty; brokers and other financial services professionals in a broad range of matters, including transitions between firms and disputes over deferred compensation, promissory notes, Form U-5 expungements, and employment agreements; and broker-dealers and other financial...

Robert J. Grand is of counsel to Lax, Neville & Intelisano, LLP. Mr. Grand’s practice is focused on representing corporations and individuals in complex civil litigation and arbitration involving securities and other financial products, employment, real estate, intellectual property, unfair business practices, and other commercial tort-related matters before federal and state courts, and private arbitration panels. Mr. Grand represents investors, financial service professionals, investment funds and financial institutions in securities litigation and arbitration, as well as in investigations and enforcement proceedings initiated by regulatory agencies such as FINRA, the SEC, and the CFTC. Mr. Grand has extensive experience representing founders, partners,...

Jaimie Fried Dockray joined Lax, Neville & Intelisano, LLP as Special Counsel in 2013. She represents both individuals and employers in employment-related matters. Ms. Dockray has extensive experience representing both individuals and employers in all aspects of workplace disputes, including contract negotiations and litigation. Her clients have included high net worth individuals as well as financial institutions and nonprofit organizations. Prior to joining Lax, Neville & Intelisano, LLP, Ms. Dockray worked at Bingham McCutchen, LLP for approximately 15 years. While at Bingham, Ms. Dockray practiced law in their management-side labor and employment group, representing public and private...

Diane Mall Sammarco is Of Counsel to Lax, Neville & Intelisano, LLP. Ms. Sammarco represents investors in securities arbitration and litigation against financial firms, as well as employees in industry disputes and self-regulatory investigations. Ms. Sammarco joined the firm’s predecessor, Rich & Intelisano, LLP, in 2008. In June 2010, Ms. Sammarco was part of the team at Rich & Intelisano, LLP that won the Bayou v. Goldman Sachs Execution & Clearing case: a $20.6 million FINRA arbitration award against Goldman Sachs related to the Bayou hedge fund fraud. The 18-day hearing generated a 100% recovery of the compensatory damages requested. It...

Sandra P. Lahens is a partner at Lax, Neville & Intelisano, LLP. Sandra’s practice involves representing businesses and individuals in commercial litigation and arbitration regarding securities and investment disputes, employment matters and regulatory investigations. She has successfully arbitrated and mediated cases before the Financial Industry Regulatory Authority (“FINRA”), the American Arbitration Association (“AAA”), JAMS, and litigated cases in federal and state courts, including in appeals before the New York Court of Appeals for the Second Circuit and the New York State Appellate Division. Sandra represents investors nationwide in customer sales practice disputes against their registered representatives, broker dealers and registered investment...

Jessica A. Murzyn has been a senior counsel at Lax, Neville & Intelisano, LLP since April 2013. Ms. Murzyn represents individual and institutional investors in securities arbitrations and litigation against financial firms. Prior to joining Lax, Neville & Intelisano, LLP, Ms. Murzyn was an associate at Friedman Kaplan Seiler & Adelman LLP from October 2008 to March 2013. At Friedman Kaplan, she represented a variety of individual and corporate clients in securities, real estate and general commercial litigation and arbitrations. For example, she represented a high net worth client in a FINRA arbitration against the client’s investment...

• Pragmatic interpretation, drafting, negotiation, clarification and explanation to management, execution, & closing of all contractual matters. • Negotiation and design of employment agreements, stock option, stock appreciation rights, & termination settlement arrangements. • Initiation, monitoring & management of long-term sourcing arrangements in multiple supply-chain and vendor environments (China, England, Mexico & Canada). • Entity formations & structures inclusive of tax & corporate governance in accordance with constituent objectives. • Analysis, creation & drafting of covenant structures in high-yield debt & commercial loan agreements. • Leveraged buyouts utilizing equity, high yield/bank debt sourced publicly/privately. • Exhaustive familiarity with 33/34 Act, Reg. A & “mini-IPO” provisions. • Drafting,...