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Practice
A partner in the Firm’s Litigation Department, Mr. Forman has more than twenty-five years of experience in representing securities firms and banks in trial and appellate courts, in arbitration forums and before regulators.
Mr. Forman has represented financial institutions, supervisors, compliance officers and sales representatives in enforcement investigations and administrative proceedings before the Securities and Exchange Commission, New York Stock Exchange, NASD, American Stock Exchange, other self-regulatory organizations and state securities departments.
Representative areas include sales practices and supervision, annuities, mutual funds, managed asset products, clearing and correspondent relationships, prime brokerage, public and private offerings, municipal securities, money laundering, insurance coverage, international compliance, investment adviser trading, discount brokerage, stock lending, stock transfer and account interpleader disputes. Mr. Forman’s practice also includes cases relating to investment banker and retail producer compensation, employment agreements, severance agreements and Form U-5 issues. Mr. Forman’s corporate practice clients include public and privately held companies in the financial sector and other industries.
Mr. Forman is admitted to practice before the New York State courts, the U.S. Southern and Eastern Districts of New York, and the Second Circuit Court of Appeals. He served with the Securities and Exchange Commission, Division of Enforcement.
Education
J.D., with honors, St. John’s University School of Law, 1973
B.A., Queens College, City University of New York, 1970
Associations
New York City Bar Association
- Member, Committee on Securities Regulation, 2002-2005
American Bar Association, Section of Business Law
Securities Industry and Financial Markets Association, Compliance & Legal Division | 