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Securities Industry Litigation Counsel

Hamburger Law Firm, LLC Apr 28,2015 Feb 05,2015 Location USA Englewood NJ
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Law Firm

Attorney

Litigation

Litigation - Foreclosure (Lender-side)

Min 2 yrs required

Profile

The Opportunity

We are a highly-respected boutique law firm located in Englewood, New Jersey, serving independent investment advisers as well as other entrepreneurial and growing companies in and around the securities industry.  We collaborate with our affiliated business and regulatory compliance consulting firm to deliver trusted counsel and innovative solutions to the complex business challenges faced by independent investment advisors within an extraordinary service platform.

We fuel the American Dream by helping the best and brightest financial advisors leave some of the country’s biggest financial institutions after decades of captive employment.  We enable them to realize their entrepreneurial dreams to launch an independent investment advisory firm and, thereafter, navigate through the complexities of this highly-regulated business.  We carefully craft advisors’ employment transition strategy, with a focus on managing risks, and then provide fast-paced negotiation or defense strategy against TROs and preliminary injunctions in courtrooms across the country, and the FINRA arbitrations that follow.  Thereafter we may assist them in strategic planning; FINRA, SEC and state securities regulatory investigations and enforcement proceedings; defense of customer complaints, and negotiation and/or litigation in traditional courtrooms, AAA and FINRA arbitration forums.

We are seeking an experienced attorney that’s passionate about supporting the success of entrepreneurs to join our team as Litigation Counsel.  Successful candidates will empathize with the budding entrepreneur and demonstrate the core values that we hold in high regard and demand of our colleagues - exercising sound judgment, bringing intense passion, setting out to win every day, making a substantial impact, and driving continuous improvement.

Primary Responsibilities

• Understanding the business and legal issues faced by our clients;

• Rendering valuable strategic and tactical counsel in the areas of employment transition planning, regulatory interactions, commercial disputes, and customer complaints;

• Counseling and preparing clients for disputes;

• Preparing pleadings and other communications, from memos to briefs to letters to hearing-related documents;

• Adhering to deadlines and project plans;

• Maintaining and growing existing client relationships;

• Participating, substantively, in new business consultations and new program development initiatives.

Prerequisites

• Significant experience with handling disputes and litigation;

• Knowledge of the employment and privacy laws and regulatory structures within the securities industry;

• Highly skilled in verbal and written communication among sophisticated clients;

• Excellent drafting skills;

• Member of New Jersey bar;
• Intuitive comfort within a technology-driven environment and strong computer skills;

• A willingness and strong desire to do what needs to be done to meet the needs and expectations of clients and colleagues.

 Interested?

Inquiries should be submitted by clicking Apply now and include a resume and cover letter along with compensation history, requirements, and goals.

Company info

Company Profile

We are a highly-respected boutique law firm located in Englewood, New Jersey, serving independent investment advisers as well as other entrepreneurial and growing companies in and around the securities industry. We collaborate with our affiliated business and regulatory compliance consulting firm to deliver trusted counsel and innovative solutions to the complex business challenges faced by independent investment advisors within an extraordinary service platform.