Biography
Tim is a seasoned and versatile attorney and partner of the firm. Tim has more than twenty years of experience in securities and commercial litigation matters and he has achieved many successful client results throughout his career. Tim is E&O insurance approved defense counsel and he regularly appears before arbitration tribunals and self-regulatory agencies, including the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”) and the American Arbitration Association (“AAA”), and also, before state and federal courts. Tim has extensive securities industry experience, having handled hundreds of cases throughout the United States and he represents clients from many different parts of the United States and throughout the world.
Tim enjoys representing a variety of broker dealers, super OSJs, individual stockbrokers and investment advisors, RIAs, and proprietary trading firms. Tim regularly advises his securities industry clients in all aspects of firm best practices, helping them navigate through the ever-changing compliance and regulatory labyrinths.
Tim advises securities industry clients on all variety of securities issues, including employment agreements, executive compensation packages, asset purchases, succession agreements, SRO cycle exams and audits, firm membership expansion, sale and cessation issues, FINRA and SEC rule interpretation issues, customer complaint and arbitration defense, state and SRO investigations and formal disciplinary proceedings, 8210 requests, OTRs, expungement proceedings, etc.
Since joining CMF, Tim now also assists firm partners with representing public and private companies, start-ups, investment banks and investors in all aspects of corporate transactions, including corporate finance, mergers and acquisitions, private equity financing transactions, registered direct transactions, public offerings and other securities offerings. Tim also enjoys advising entrepreneurs and start-ups from entity formation, to funding, to exit.
Tim also enjoys lending his legal experience to individuals and companies who are often the victims of some type of fraud or otherwise taken advantage of. Tim is a strategist and a firm believer in the pursuit of client causes, for which he strives to achieve to the greatest economic benefit for the client.
Education
Northeastern University (B.S. 1995)
New York Law School (J.D. 2000)
Admissions
New York (2001)
U.S. District Court for the Eastern District (2004)
U.S. District Court for the Southern District (2016)
U.S. Court of Appeals for the Second Circuit (2008)