Pembroke Securities Lawyers

With over 16 years of experience providing strategy and support through all stages of litigation, I have a keen instinct for finding creative ways to contribute effectively to legal strategies.

Regulatory Compliance Professional (CRCP) certification awarded in December 2016 from FINRA’s Wharton Institute enhances skills in protecting the economic security of consumers with an informed view of the industry's perspective on regulatory initiatives and an appreciation of necessary capital formation goals.

Possesses a deep understanding of anti money laundering policies in domestic and international contexts, cross-border jurisdictional and enforcement challenges, evolving standards concerning broker and adviser duties relating to proprietary...

I am an experienced Trial Lawyer with significant trial and litigation experience in both the U.S. Bankruptcy, U.S. District, and State Superior & Appellate Courts. I represent businesses, high net-worth individuals and families, and corporations both in and out of Court. As a season trial attorney and bankruptcy practitioner, I handle high-profile and serious federal, internal, state and local investigations.

My experience from both sides of the courtroom aisle brings a significant layer of insight to the advice I provide clients. I have experience prosecuting embezzlement and corporate shareholder disputes as well as defending felonies, securities fraud, and homicide cases. I...

Getting to know the clients is one of my favorite parts of this job. When I take on a case, I keep their interests and objectives in the forefront of my mind. Indeed, my proudest moments come from obtaining favorable results inside and outside the courtroom. I am most fortunate to have the opportunity to represent of a wide range of clients including individuals and businesses of all sizes, in multiple industries, across a number of practice areas. For instance, I have represented individuals in straightforward employment disputes as well as businesses in complex securities matters (and everything...

Timothy Cornell focuses on complex litigation, particularly securities fraud, FINRA arbitration and the False Claims Act. This year, Timothy has represented whistleblowers before courts and U.S. Attorneys around the country. He settled a lawsuit brought by shareholders against a high tech company based in India, and represents a Mexican oil industry company in a contract dispute against a New Hampshire company. Timothy graduated from the University of Chicago and had a career in journalism before heading into law. Writing for the Boston Herald, the Philadelphia Inquirer, and other newspapers, he covered courts, crime and education. While...

Keith E. Phillis focuses his practice on tax, corporate and renewable energy matters. His tax experience includes extensive involvement with the structuring and sale of investment assets in a wide range of industries. His corporate experience includes all aspects of business formation and governance, from start-ups to asset portfolios valued at over $500M. Keith's renewable energy experience extends to the identification, structuring, development, financing and sale of renewable energy projects throughout Rhode Island, Massachusetts and Connecticut.

Keith represents renewable energy asset developers and asset managers at all stages in an asset's life, from identification and due diligence of opportunities to acquisition...