New YorkNew York(NY) Lieberman, Paul A. personal infomation and areas of practice

New York New YorkWarshaw Burstein, LLP attorney Lieberman, Paul A. is a Very good lawyer practice area in Securities/Financial Regulatory Employment Litigation White Collar Defense Banking and Finance Insurance ,Banking & Finance, Employment, Insurance, Litigation & Appeals, Securities, White Collar Crimes,Warshaw Burstein, LLP

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• Mr. Lieberman's practice is devoted to financial services industry matters, including representation of broker-dealers, investment advisers, public and private investment companies, registered representatives/financial advisers and associated staff. He has achieved a record of successful legal representation for a diverse spectrum of financial services industry clients involving business solutions to complex and technical matters. He has more than two decades of experience in leading and coordinating internal investigations and defending regulatory enforcement proceedings. He advises clients on issues involving: formation/governance; regulation, audit, compliance and risk management; employment and supervision. Mr. Lieberman successfully adapts compliance, operations and supervisory policies and procedures to evolving regulatory mandates, and assists clients in implementing business improvement and remediation strategies that reduce risk while assuring regulatory compliance. Mr. Lieberman also counsels producers in effecting transitions and negotiating financial packages.

  Utilizing his litigation, regulatory and ADR expertise, Mr. Lieberman develops Early Case Assessment Strategies stressing in-depth factual investigation and regulatory requirements.? He has significant experience in handling employment litigation and proceedings seeking injunctive relief, with a focus on trade secret, and non-compete/non-solicitation issues. In coordinating complex client assignments, Mr. Lieberman, among other things, applies project management strategies that include legal spend management "best practices." He is well versed in E-discovery issues and practices, including selection of "best of breed" vendors for data solutions when required.

  Mr. Lieberman has successfully litigated cases in many jurisdictions, including New Jersey, New York, California, Connecticut, District of Columbia, Florida, Indiana, Kentucky, Louisiana, and Pennsylvania. He was a former SEC Division of Enforcement investigator, a NYSE regulatory special counsel for the market surveillance division, General Counsel/Counsel for several global financial services firms including Merrill Lynch, Citicorp, Tucker Anthony, and an independent broker-dealer and investment adviser.

  SECURITIES AND ADVISORY MATTERS:

  Represented clients in the defense of SEC, DOJ, CFTC, FINRA and State securities commission investigations and enforcement proceedings.Challenged enforcement recommendations with Wells-type mitigation responses and pro-active remediation of sanctions.Monitored compliance of client’s undertakings in settlement agreements, and assisted client in development and implementation of revised compliance policies/procedures.Successfully defended investor adviser in SEC regional office investigation and subsequent Wells submission, resulting in adviser not being named in the proceeding.Defended BD, officers and affiliated brokers in customer disputes.Counseled senior management and CCOs in meeting examination challenges and coordinating responses to document requests and reviews of internal risk assessments.Representation of witnesses/targets in all aspects of criminal/white collar crime investigations, including sanction negotiation.Representation of clients in a wide range of securities and advisory issues affecting broker-dealers, investment advisers and hedge funds, including supervisory, back-office/operations matters, and regulatory compliance affecting officers, directors, employees, independent contractors and staff.Prosecuted and defended clients in securities arbitrations and mediations.Handled transactional matters involving equity/debt offerings, private placements, private equity, hedge fund, and venture capital investments.

  EMPLOYMENT LITIGATION/ADR:

  Represented clients in the financial services sector, real estate management/development and other commercial enterprises, in employment litigation, alternative dispute resolution proceedings, and with respect to revisions of existing policy/procedures and Code of Conduct. Utilizing Early Case Assessment Strategies (ECAS) and a client-specific, results oriented approach, generated solutions for employment, trade secrets, and non-compete/non-solicitation issues, including prosecution and defense of applications for injunctive relief, in both state and federal courts.Represented individuals and teams in completing Broker Protocol compliant transitions, including negotiating financial arrangements, Promissory Note repayment terms, and defenses to obligations.Represented BD/Investment Advisor clients in defense and prosecution of arbitrations and mediations.

• New Jersey District of Columbia

• American Bar Association, Litigation Section District of Columbia Bar Association New Jersey State Bar Association (Securities Litigation and Regulatory Enforcement Committee) New York State Bar Association (Business & Commercial Law Committee Member) New York State Bar Association (Committee on Corporate Litigation Counsel) New York State Bar Association (ComFed Committee on Arbitration and ADR) SEC Alumni Association (Member) SEC Enforcement Alumni (Member) Merrill Lynch OGC Alumni (Member) SIFMA, Compliance and Legal Society (Former Member, PSA, Independent Firms) Society of Financial Services Professionals Corporate Counsel Association (Association of Securities and Exchange Commission Alumni) Corporate Counsel Association (Securities Regulators Network) The National Society of Compliance Professionals, Inc New Jersey State Bar Association (John Lifland American Inn of Court) New York State Bar Association, Commercial and Federal Litigation Section New York State Bar Association, Dispute Resolution Section

• American University, Washington College of Law, Washington, District of Columbia, 1973J.D. City College of New York, 1970B.A.

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New York New York lawyer Lieberman, Paul A.

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