Matthew Lipman Email & Phone Number

New York, Ny, Us

East Hanover, New Jersey, Us

Manage regulatory and compliance matters for an established full-service broker dealer and SEC Registered Investment Advisor; Manage all outside counsel with regard to federal and state regulators and FINRA arbitrations; consult on all legal matters relating to the business; Corporate Secretary of parent holding company, maintain all corporate books, stock transactions and manage board of directors meetings and activities; maintain compliance of all regulatory filings in this complex and constantly changing regulatory landscape. SIE and Series 7 registered.

Trusted attorney and counselor whose legal advice and advocacy is valued and respected by clients. Provides guidance and comfort that laws and regulatory requirements are complied with so that fund managers and corporate executives can focus on their business rather than legal and compliance issues.I have the knowledge and expertise to handle significant corporate legal issues across the spectrum of areas of law. Specialties include corporate, securities, regulatory and compliance law; representing broker-dealers and other financial services companies; and trust and estates. Israel practice advising Israeli financial firms and start-ups on US regulatory and compliance matters. Advise Israeli/American citizens on tax and other legal matters and coordinate representation through my extensive network of US and Israeli tax and legal advisors.www.mlipmanlaw.com

General Counsel and Chief Compliance Officer of $650MM family office and fund of funds. Responsible for all legal and compliance matters; preparation of all fund documentation and client related documents; manage banking and asset transfers; prepare and file all regulatory filings, including Form ADV.

Senior Associate for 11 years, until firm dissolved. Specialized in corporate and securities law and related litigation. Until the closing of the firm, I was a senior associate in a sophisticated and well known Wall Street commercial practice, including: new business ventures and securities, capital market, compliance and regulatory matters. Knowledge of Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act, Investment Advisers Act, Dodd-Frank, Sarbanes-Oxley, FATCA, AML and SEC and FINRA regulatory issues and filings. Drafting of documents, including contracts among multi-national counter-parties, operating agreements, employment agreements, and SEC filings. Experience in cross border transactions, trusts and tax considerations. Israel practice advising business and individuals.

New York, Ny, Us

Consultant to Bernstein Litowitz Berger & Grossmann LLP, lead counsel in a major class-action securities litigation case. Determined legal theories and methodologies in preparation for discovery and trial phases of securities-fraud cases, focusing on the energy and financial sectors.

Pittsford, New York, Us

Associate with the Mass Torts and Industry-Wide Litigation and Medical and Life Sciences practice groups. Actively representing manufacturers and insurers of dietary supplements, pharmaceuticals, nutraceuticals, and other products, including asbestos. Drafted legal documents related to all aspects of litigation and appeared in court on case related matters; participated in complex electronic discovery and document review; and conducted legal research and drafted memoranda of law related to complex litigation matters, including federal multi-district litigation.

Broker-Electricity (physical and derivatives). Co-managed midcontinent and eastern institutional brokerage desk in the physical and derivative electricity markets.

New York, Ny, Us

Financial Advisor. Advised high net worth individuals on all aspects of investment management and financial planning. Managed equity and fixed income portfolios.

Commercial transactions attorney, practicing in real estate, financing and lending, litigation and corporate and securities law.

Doctor Of Law (Jd)

Ba, Magna Cum Laude, Economics And Business Administration