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So You’re Interested in a Career in Securities Law

SKU: SEC020N
Total Credits
0.75 - 1.1
Price$50
CDs/DVDs Only
This course is only available in CD/DVD format.
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Description

Join NYCLA’s Securities and Exchanges Committee as a panel of securities attorneys from different aspects of practice discuss how to prepare for a securities law career, including the skill sets that need to be developed, possible challenges to be confronted, career paths, work-life balance, the different aspects of practice … and more!

Lecturer Bios

Susan L. Harper, Esq.

Susan L. Harper, Esq. is the New York/New Jersey Director of the Bates Group LLC. Ms. Harper is an experienced litigation attorney who has represented major broker dealers, insurance companies, clearing firms and their employees throughout the United States on a variety of matters before FINRA, SEC and state and federal courts in connection with customer, industry, and employment disputes, as well as compliance and regulatory matters. She has successfully defended, mediated and settled claims involving wrongful termination/discrimination, suitability, speculative products, hedge funds, over concentration, fraud, churning, misappropriation, negligence, fiduciary duty, failure to supervise and Form U4/U5 related matters.

She is experienced in advising clients and devising strategic approaches and strategies to securities arbitration and litigation matters; interviewing and prepping witnesses; analyzing potential arbitration panels; coaching and making recommendations to clients; drafting arbitration and litigation pleadings; conducting legal, investigative research and background checks; managing and coordinating pre-hearing conferences and discovery, including e-discovery, FINRA/court mandated discovery, issuances of subpoenas; pre-hearing preparation and hearing processes.

Sample Representative Cases include:

  • Successfully represented global financial services company in motion to compel arbitration in Surrogate’s Court (Published decision; Matter of Depinto v UBS, 17 MS 2008, NY Surrogate’s Court (Suffolk County, 2010)
  • Mediated suitability claim on behalf of national discount broker concerning naked puts, straddles and options contracts in third party managed accounts
  • Served as lead associate for law firm regulatory team on behalf of 60-year-old Wall Street brokerage house concerning FINRA penny stock, AML regulatory inquiry, hedge fund dispute
  • Successfully defended Fortune 500 client in overconcentration claim concerning multiple hedge funds
  • Served as lead associate for law firm arbitration team that successfully defended a multimillion dollar fraud claim brought against nationally known clearing firm client. After a nine-day trial on the merits, the claim against the client was denied in its entirety
  • Successfully negotiated settlements for broker-dealers concerning FINRA claims of suitability, misallocation, overconcentration, fraud and speculative retail product
  • Represented insurance company in FINRA claim concerning variable annuities and insurance related products
  • Represented registered representative and Fortune 500 Company concerning suitability of investments in third party managed accounts
  • Represented Fortune 500 Company in FINRA suitability claim concerning hedge fund investment
  • Represented Fortune 500 Company in multiple South American retail customer claims

Barry Temkin, Esq.

Barry Temkin is a partner at Mound Cotton Wollan & Greengrass. His practice includes securities arbitration and litigation, commodities and securities regulation, legal ethics, professional liability defense, employment and commercial litigation. Mr. Temkin represents broker dealers, financial advisors, insurance brokers and registered representatives in litigation, arbitration and regulatory investigations. He also represents lawyers and law firms in disciplinary investigations, legal malpractice claims and conflict disputes.

Mr. Temkin is an adjunct professor at Fordham University School of Law, where he teaches Professional Responsibility. As an Assistant District Attorney in Brooklyn, he tried dozens of jury cases and served as a Senior Trial Attorney in the Homicide Bureau. Mr. Temkin has published articles on securities law and attorney professionalism in the Georgetown Journal of Legal Ethics, The Securities Regulation Law Journal, Seattle University Law Review, Securities Arbitration Commentator, and the New York Law Journal.

Mr. Temkin has been a member of the FINRA (Financial Industry Regulatory Authority) Board of Arbitrators since 1999, and is co-chair of the New York Country Lawyers' Association Professional Ethics Committee. Mr. Temkin has participated in panels on securities, commodities and legal ethics at the New York State Bar Association, the New York County Lawyers' Association, the Association of the Bar of the City of New York, the Practicing Law Institute, the Futures Industry Association and The Defense Association of New York, along with numerous corporations and insurance companies. He has been quoted in the ABA Journal, the New York Law Journal, The Economist, The Wall Street Journal.com, Law360.com, Lawyers U.S.A. and other publications.

He is a graduate of the University of Pennsylvania Law School and the University of Rochester.

Vander Beatty, Esq.

Vander Beatty is an associate with Mound Cotton Wollan & Greengrass LLP. Mr. Beatty joined the firm in 2015.

He is a graduate of Brooklyn Law School, where he was Articles Editor of Brooklyn Journal of Corporate, Financial & Commercial Law, Student Co-Chair of NYCLA Futures and Derivatives Committee, and a recipient of the Access to Justice Award. He graduated from Goucher College. Prior to law school, he spent several years working in the insurance industry, including positions with Progressive Insurance and the Government Employee Insurance Company.

Andrew Fleming, Esq.

Andrew Fleming is Vice President, Legal and Compliance at Blackstone. Prior to joining Blackstone he was an Associate at Skadden Arps, Slate, Meagher & Flom LLP in the firm’s Capital Markets and Mergers and Acquisitions groups, as well as a judicial intern for Hon. Richard M. Berman, S.D.N.Y. and the Office of the Attorney General of New York, Litigation Bureau.

He received a BA in Economics, Magna Cum Laude from Siena College an a JD, magna cum laude from Brooklyn Law School where he was Notes and Comments editor of the Brooklyn Law Review and a Securities Regulation Research Assistant to Professor Roberta S. Karmel.

Anne Loranger, Esq.

Anne Loranger is Chief Regulatory X. She is an experienced regulatory compliance attorney with extensive expertise in CFTC and SEC regulations, futures, fixed income, swaps and FX trading rules and cybersecurity. Previously she was Vice President/Futures Compliance Officer at Morgan Stanley. She received an MS in Library & Information Science at Pratt Institute, a BA from Indiana University Bloomington in Slavic Languages and Literature and a JD from New York Law School, cum laude. She is admitted in NY and CT.

Melissa Tarentino, Esq.

Melissa Tarentino is Senior Complex Claims Director at Berkshire Hathaway Specialty Insurance. She is skilled on legal, compliance, securities and risk management. As a senior level legal professional in the financial services industry she has an appreciation and understanding of business needs.

Previously she was VP, Legal Affairs for Ladenburg Thalmann Financial Services, Inc. She received a BA in Political Science and Government from Stonehill College, Summa Cum Laude and a JD from Suffolk University School of Law, Cum Laude.



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