Mount Laurel Securities Lawyers

My legal practice has always involved the representation of stock market participants, including investors, financial professionals and firms, nationwide. My work includes representation of in connection with FINRA Examinations and Enforcement Proceedings, as well as SEC investigations. I also represent individual brokers from virtually every major firm in their contract negotiations, employment termination, U-4 and U-5 issues. In specialized situations where the facts or law present novel issues, I also represent investors. I have appeared before arbitration panels and regulators in 22 states, have written legal columns for a number of industry publications, been a...

Joseph M. Lucosky is the founding and Managing Partner of Lucosky Brookman LLP and oversees both the transactional and litigation departments. Mr. Lucosky has a broad multidisciplinary practice that includes extensive experience in litigation and dispute resolution, regulatory investigations (including FINRA and SEC matters), negotiated mergers and acquisitions; domestic and cross-border investments/joint ventures; the representation of private equity; venture capital and other private investment funds, placement agents and underwriters; securities offerings; private and public financings (including secured and unsecured lending); bankruptcy transactions; real estate matters; and various other types of commercial transactions. In addition, he counsels corporate boards, and board...

Highly experienced and certified trial attorney with integrity. Knowledgeable in the areas of malpractice and personal injury. Very professional and is a relentless advocate for his clients. Other lawyers trust him with their cases when they need help. Clients and lawyers can feel confident when they have Ray on their side.

John R. Menz has represented corporate and individual clients in sophisticated legal matters concerning contract disputes, securities regulation, real property, product liability and employment law. He has litigated and arbitrated cases in a variety of forums, including federal courts, state courts, the American Arbitration Association, and the New York Stock Exchange. Mr. Menz offers corporate and individual clients a fluent understanding of the terms, conditions and strategies involved in complex financial transactions gained from his long legal experience and skills obtained as a former tax accountant at Price Waterhouse.

Mr. Menz has successfully defended claims against financial institutions in courts and...

David S. Rich is the founding member of the Law Offices of David S. Rich, LLC. Mr. Rich is a New York City Business Litigation Attorney. Mr. Rich litigates civil, commercial, employment, and securities matters in federal and state courts in New York and New Jersey, and arbitrates such matters before FINRA and other arbitral bodies. Mr. Rich also litigates appeals. Mr. Rich has represented clients in, among other civil and commercial matters, breach of contract actions, business torts cases, bankruptcy and adversary proceedings, civil racketeering actions, oppressed minority shareholder disputes, product liability litigation, franchisor-franchisee litigation, qui tam...

Michael S. Komar has almost twenty-five years of experience handling complex insurance coverage and commercial litigation matters. Mr. Komar's insurance coverage litigation experience has included handling dozens actions involving pollution, asbestos, silica, lead paint, toxic tort, construction defect, general liability and California Prop. 64 and 65 claims, in addition to representing insurance clients in prepackaged bankruptcy, reinsurance, broker liability and first-party property disputes. Many of the coverage actions defended by Mr. Komar involved claims not only for declaratory judgment and breach of contract, but also bad faith and unfair claim handling practices.

Mr. Komar has developed an intimate working knowledge of...

The focus of our practice is the representation of individual and institutional investors in arbitrations and litigations involving claims of breach of fiduciary duty, breach of contract, mismanagement, stock fraud, suitability, unauthorized trading, negligence and churning.

I also regularly represent those who work in the financial services regarding recruiting practices including issues relating to the Protocol for Broker Recruiting; non-solicit, non-compete and other restrictive covenants; customer privacy and other regulatory issues; best-practices for preserving a book of business through a transition; Form U5 negotiations; responding to FINRA inquiries; promissory notes; bonus disputes; team disputes; temporary restraining orders (TROs); expedited FINRA arbitrations;...

Alexander is a litigation generalist with experience prosecuting and defending a wide variety of civil actions in state and federal courts across New York and New Jersey. Born and raised in northern New Jersey, Alexander hails from a family of lawyers and brings the collective wisdom of their past legal practice experience to bear for the benefit of his friends and clients. A graduate of Duke University and Seton Hall Law School, Alexander received his early legal training and experience at a premier regional law firm before spending several years as an associate with one of America’s largest firms. Alexander started...

Thomas A. Utzinger is a lawyer and consultant in New Jersey. He is the Managing Member of GlacierAdvisory LLC, a boutique business advisory firm focused on environmental, social, and governance (ESG)-based strategies. Thomas has worked in government, law firm, and corporate positions and is experienced in environmental regulation, corporate governance, and securities law. He holds an LL.M. in Environmental Law from The George Washington University Law School, a J.D. from Boston University School of Law, and a B.A. in History from Cornell University. In addition to being an attorney and business advisor, Thomas is a writer on topics including environmental...

Financial services attorney primarily focused on resolving disputes through securities arbitration before the Financial Industry Regulatory Authority (FINRA), in addition to state and federal court litigation on select securities and consumer matters. On behalf of aggrieved investors, seek recovery of investment losses due to defective financial products or the wrongdoing of a broker or wealth manager. On behalf of securities industry professionals, offer representation on a broad range of matters including broker transitions, compensation-related disputes and employment matters including U5 expungement.

Solo attorney in Hoboken, with full practice, catering to the representation of aggrieved investors against brokers and investment firms.