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Updated: September 14th, 2021 | Westport | Lawyer List R | Cohen and Wolf P.C. | Securities,
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Address: 320 Post Road West, westport, CT, 06880
Law Firm: Cohen and Wolf, P.C.
Phone: 888-381-8856
Fax: 203-227-1373
Email:
Website: http://www.cohenandwolf.com
| Title | Principal |
| First Year of Call | |
| Areas of Practice | Securities |
| Description | Rick brought his extensive regulatory experience to Cohen and Wolf in 1984 and founded its securities practice group. In initiating the securities practice, Rick’s goal was to be handle a broad range of securities matters building on his years as a regulator. He spent eleven years as a regulator in two states and for the United States Securities and Exchange Commission (SEC). Broker-dealers, investment advisers, and issuers of securities regularly hire Rick to deal with their compliance issues, draft offering documents, create their internal compliance documents, and represent them before federal and state securities regulators. Securities Arbitration, Mediation, and Litigation Rick is well known for his skill in arbitration and mediation in the Financial Industry Regulatory Authority (FINRA) forum and in financial litigation in federal and state courts. Since entering private practice Rick has defended dozens of broker-dealers and investment advisers, achieving Respondents’ and Defendants’ awards and verdicts in the great majority of his defense cases. He has also won millions of dollars of awards or settlements for Claimants in arbitration and plaintiffs in securities litigation. His practice also includes the representation of firms and registered persons in employment disputes, both in arbitration and in federal and state courts. Representation of Registered persons and firms before regulators; Compliance Clients have utilized Rick to draft their compliance manuals, their codes of ethics, and to guide them through regulatory examinations, on-the-record testimony before regulators, and the settlement or hearing of administrative proceedings. During his career, he has settled hundreds of cases before FINRA, state securities regulators in numerous states, and the SEC. He has also represented clients in administrative hearings before FINRA and the Connecticut Department of Banking and in the investigations which led to those hearings. Capital formation Issuers of securities have come to Rick over the years to prepare their offering documents. He wrote the basic private offering laws and regulations in Connecticut and Ohio and has lectured and appeared on panels countless times discussing all aspects of compliance with federal and state securities laws. Rick has prepared offering documents for hedge funds, real estate syndicators, and many start-up businesses and has handled compliance, litigation, and regulatory issues for those clients. In addition to annual recognition from clients and from his peers, Rick was named ‘Lawyer of the Year’ by Best Lawyers in America© for Securities/Capital Markets Law in the Stamford area. CREDENTIALS HONORS & AWARDS Best Lawyers ‘Lawyer of the Year’ for Securities/Capital Markets Law 2017, Stamford, CT Metro Area Best Lawyers in America 2009-2020, Securities/Capital Markets Law Best Lawyers in America 2011-2020, Securities Regulation Chambers USA , Commercial Litigation, 2009 – 2016 Connecticut Super Lawyers, Securities Litigation, 2011-2019 Martindale Hubbell, AV Preeminentâ„¢ Peer Rating United Way Community Builder Award, 2004 Congregation Beth El ‘Man of the Year’, 2008 PUBLICATIONS Have the Changes to FINRA Arbitration Panels Helped the Customer? 09.01.2011 Questions and Answers about Securities Arbitration 08.31.2011 NASD Broker-Customer Arbitrations Does Connecticut Law Make a Difference? 08.31.2011 Fairness Demands Return of Ill-Gotten Madoff Gains Connecticut Post, 04.25.2011 A Critical Look at Proposed Hedge Fund Legislation 02.27.2009 ‘Bernie Madoff had my money. What do I do? 01.2009 COMMUNITY INVOLVEMENT Congregation Beth El, President, 2005-2007 Connecticut Banking Commissioner’s Advisory Council, 1998-present Connecticut Legal Services, Inc., Advisory Board, 2008-2018 Connecticut Legal Services, Board of Directors and Past Chair of Fundraising, 1993-2007 Jewish Center for Community Services, Chair, 1999-2001 Jewish Community Foundation of Greater Bridgeport, Chair, 2004-2005 Legal Center for Connecticut Non-Profit Organizations, Founder Westport Country Playhouse, Secretary, Assistant Secretary, 2008-present PROFESSIONAL AFFILIATIONS American Bar Association Business Law Section, State Securities Committee, Enforcement Section Chair, 2010-present Litigation Section, Securities Litigation Committee Litigation Section, Arbitration and Enforcement Subcommittee Connecticut Bar Association Business Law Section, Executive Committee 1985 – Present Federal Practice Section, Executive Committee, 2003 Business Law Section, Chairman, Securities Law Committee, 1995 – 2000 Business Law Section, Securities Law Committee, Chairman, 1985 – 1990 Greater Bridgeport Bar Association Business Law Committee, Chairman, 1996 – 1998 Financial Industry Regulatory Authority (FINRA), Arbitration Board, 1985-present National Futures Association, Arbitration Board |
Providing Personal Attention and Practical Advice for more than 60 Years.Founded in 1951 by Herbert L. Cohen and Austin K. Wolf, Cohen and Wolf, P.C. has grown from its two founding partners to a full-service Connecticut law firm with 50 attorneys and offices in Bridgeport, Danbury, Westport and Orange. The firm represents a diverse range of clients including early-stage and middle-market businesses, national and public companies, financi…
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