Firm Profile:
Mr. Berman represents clients in lawsuits, arbitration, and reparations proceedings before state and federal courts, Financial Industry Regulatory Administration (FINRA) (formerly known as the National Association of Securities Dealers (NASD)), Commodity Futures Trading Commission (CFTC), exchanges and other Self Regulatory Organizations (SRO), American Arbitration Association (AAA), and other arbitration forums. of the disputes are between and among Broker Dealers, Futures Commission Merchants (FCM), Introducing Brokers (IB), Commodity Pool Operators (CPO), Commodity Futures Trading Commission (CFTC), exchanges and other Self Regulatory Organizations (SRO), American Arbitration Association (AAA), and other arbitration forums. Many of the disputes are between and among Broker Dealers, Futures Commission Merchants (FCM), Introducing Brokers (IB), Commodity Pool Operators (CPO), Commodity Trading Advisors (CTA), Investment Advisers, Floor Brokers, Floor Traders, Market Makers, Associated Persons (AP), Registered representatives, stock brokers commodity brokers, financial consultants, financial planners, Certified Public Accountants (CPA), hedge funds, asset managers, portfolio managers, investment analysts, underwriters, placement agents, investment bankers, mutual funds, banks, trust companies, insurance companies, insurance brokers, agents and producers, trust companies, and other financial institutions-as well as the customers and employees of these firms. The disputes involve securities, options, equities, commodities, futures, currencies, FOREX, collateral debt obligations, electronic trading platforms, automated-high frequency trading, leverage contracts, over-the-counter transactions in the inter-bank and other cash markets, swaps and other derivative products, electronic trading platforms, automated high-frequency trading, municipal and corporate bonds and other fixed income instruments, preferred and common stock, variable and index annuities, variable life insurance policies, employment agreements, and forgivable loans. The allegations made in these cases involve, among other things, breach of contract, negligence, breach of fiduciary duty, fraud, unauthorized trading, improper allocation of assets, churning, unsuitable recommendations, insider trading, violations of SRO rules and regulations, and consumer fraud statues. Mr. Berman also represents Broker Dealers, FCMs, IBs, CPOs, CTAs, Floor Brokers, Floor Traders, Market Makers, APs, Registered Representatives, Investment Advisors, stock brokers, commodity brokers, brokerage firms, investment analysts, asset managers, portfolio managers, insurance brokers, agents and producers regarding investigations, disciplinary, enforcement, and compliance hearings and proceedings brought by FINRA, CFTC, Securities and Exchange Commission (SEC), SROs, exchanges, and state securities and insurance departments, commissions, and agencies, involving, among other things, the suspension and termination of a registrant's license or registration. He also assists clients with registration matters before these bodies, including compliance with their rules and regulations, compliance audits, the preparation of Disclosure Documents for CTAs and CPOs, and other regulatory matters. Mr. Berman also represents employers and employees in "raiding" cases before state and federal courts where injunctions, declaratory judgments, and damages are sought for alleged violations of restrictive covenants (non-compete or non-competition agreements, non-solicitation agreements, confidentiality agreements, breach of fiduciary duties, and trade secrets). Many, but not all of these cases involve Broker Dealers, FCMs, CTAs, Investment Advisers, IBs, Associated Persons, Registered Representatives, insurance brokers and agents, and CPAs. Mr. Berman also represents clients involved in shareholder disputes involving closely held corporations, general partnership, limited liability companies, limited liability partnerships, involving primarily the financial services industries. Mr. Berman also represents companies that provide online classes and seminars, which teach students how to trade futures and options of futures contracts, including FOREX and stock options. Mr. Berman's Philosophy of Legal Practice: Mr. Berman begins by learning his clients' needs and objectives. He obtains and thorough understanding of the facts, and weighs various courses of conduct with his clients by discussing them in a candid, straightforward manner. Ultimately, Mr. Berman helps his clients devise practical, "real world" solutions. Mr. Berman constantly re-assesses the risks and rewards of each course of action after it has been adopted. Mr. Berman is results-oriented. He constantly looks for creative and innovative ways to solve his clients' problems. In appropriate circumstances, he refers clients to mediation (and represents them during the mediation process). Yet, when litigation cannot be avoided, Mr. Berman vigorously prosecutes and defends his clients' interests. In certain cases, Mr. Berman is prepared in appropriate cases to share the risks and rewards of obtaining a favorable result for his clients. He has devised fee arrangements to accomplish this goal for both plaintiffs and defendants. |
