Bio

Robert I. Rabinowitz joined Becker & Poliakoff in February 2009 in the corporate and securities practice group in New York and New Jersey. Robert’s practice centers on legal and regulatory guidance in the formation and registration of broker/dealers and investment advisers, and representation of broker/dealers and investment advisers with respect to regulatory and compliance related matters. He represents brokerage firms and their associated persons in connection with regulatory investigations and disciplinary proceedings before the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”). He also specializes in representing parties in securities arbitration and civil court proceedings. During the previous twenty two years, Robert was the general counsel for a national, independent broker/dealer and registered investment adviser. His duties included managing the brokerage firm’s regulatory compliance and corporate governance functions, providing advice and guidance to management on federal, state and self regulatory organization compliance and regulatory issues, including general corporate matters and assisted with the management of the firm’s business operations. His responsibilities included representing the firm in regulatory investigations and proceedings as well as civil litigation and arbitrations.