Section or Committee Sponsor: Securities Law Committee
Credits: Trial Attorney Certification: 1.5 criminal credits
NJ CLE: 1.5 general credits
NY CLE: (Non-transitional) 1.5 professional practice credits
PA CLE: 1.0 substantive credits pending ($4.00 check payable to NJICLE)
Logan Fisher Esq., Principal, Bressler Amery & Ross, PC
Zahid Quraishi, Partner, Riker Danzig Scherer Hyland & Perretti LLP
Moderator/Speaker: William A. Despo, Esq., Chair, NJSBA Securities Law Committee, Despo Law Group
Christopher W. Gerold, Bureau Chief, New Jersey Bureau of Securities Office of the New Jersey Attorney General
Nicholas Grippo, U.S. Assistant Attorney, The United States Attorney’s Office District of New Jersey
Hasan Ibrahim, Vice President and Chief Legal Officer, Prudential Advisors
Sheldon L. Pollock, Assistant Director, U.S. Securities & Exchange Commission
Peter Pearlman Esq., Partner, Cohn Lifland Pearlman Herrmann & Knopf LLP
Federal and state regulators and law enforcement will provide an update on recent events, discuss current issues, and provide a priority list. In addition, there will be a panel of New Jersey practitioners to discuss current issues and comment on the regulator/enforcement panel comments.
Logan Fisher Esq.
Principal, Bressler Amery & Ross, PC
Logan Fisher is a principal in the firm’s Securities practice group. Logan’s practice is primarily devoted to representing broker-dealers and registered representatives in securities litigation, including customer-initiated complaints with self-regulatory organizations such as the FINRA. He has successfully handled numerous arbitrations involving a variety of claims, including fraud, misrepresentation, unsuitability, unauthorized trading and churning. Logan also has experience counseling individual financial advisors regarding Form U4 and U5 disclosures.
In his securities regulatory practice, Logan has represented broker-dealer and registered investment advisor clients in a variety of state and industry investigations. He has also counseled registered investment advisor clients concerning required disclosures under Form ADV.
Logan also represents individual entrepreneurs and business organizations in connection with the formation of corporate entities, crowdfunding ventures, and litigation before state and federal courts in New Jersey and New York.
A magna cum laude graduate of Duquesne University School of Law, Logan served as Executive Editor of the Duquesne Law Review. While in law school, Logan co-authored an article on Election Law that was published in the Harvard Journal on Legislation. He received his undergraduate degree in Business Administration from Temple University’s Fox School of Business & Management.
Partner, Riker Danzig Scherer Hyland & Perretti LLP
Zahid N. Quraishi is a partner in the White Collar Criminal Defense and Investigations Group of Riker Danzig Scherer Hyland & Perretti LLP. His practice focuses on white collar criminal defense, internal corporate investigations, and complex civil litigation. Zahid has extensive experience representing clients with government enforcement and compliance issues involving potential criminal charges. Zahid has represented both companies and individuals in connection with criminal investigations involving violations of securities law, healthcare fraud, money laundering, environmental statutes, public corruption, and tax laws among other white collar areas of law.
Before joining Riker, Zahid served as an Assistant United States Attorney in the United States Attorney’s Office for the District of New Jersey for over five years. He previously represented the United States as an Assistant Chief Counsel and trial attorney with the Department of Homeland Security.
Zahid currently serves as a Trustee for the Association of the Federal Bar of New Jersey and the Association of Criminal Defense Lawyers of New Jersey. He is also a member of the Executive Committee of the C. Willard Heckel American Inn of Court at Rutgers School of Law.
William A. Despo, Esq.
Chair, NJSBA Securities Law Committee, Despo Law Group
William A. Despo founded the Despo Law Group, a Rumson, New Jersey law firm, after spending the last 30 years with a major Newark, New Jersey law firm. Bill was the chairperson of the Financial Services Practice Group that represented insurance companies, investment advisors, banks, credit unions, broker/dealers, insurance agents, brokers, hedge funds, capital market participants and others.
Bill has appeared in state and federal courts throughout the United States, and has represented clients in arbitration proceedings at the American Arbitration Association, JAMs, and Financial Industry National Regulatory Authority (FINRA). He is a member of FINRA and National Futures Association Arbitration Boards. He is also a member of the Disciplinary Panel of Tradition SEF, which is a national trading facility for swaps and derivatives. He has defended individuals and companies including Registered Investment Advisors (“RIA”) and Broker Dealers before the U. S. Securities Exchange Commission, U. S. Commodities Futures Trading Commission, New Jersey Bureau of Securities, and other federal and state agencies. He has lectured about fiduciary issues affecting RIAs and Broker Dealers arising out of the Department of Labor’s Fiduciary Rule. He has tried cases and arbitrations throughout the country.
Christopher W. Gerold
Bureau Chief, New Jersey Bureau of Securities Office of the New Jersey Attorney General
Christopher W. Gerold is the Chief of the New Jersey Bureau of Securities (“Bureau”) and, pursuant to N.J.S.A. 49:3-66(a), its principal executive officer. The Bureau regulates the offer and sale of securities in New Jersey to achieve its primary mission of protecting New Jersey investors. As the Bureau Chief, Mr. Gerold is responsible for the administration and enforcement of the New Jersey Uniform Securities Law, as well as management of the Bureau.
Mr. Gerold started his legal career as a Deputy Attorney General in the Securities Fraud Prosecution Section of the New Jersey Division of Law, where from 2005 to 2010 he represented the Bureau during investigations and as a lead trial attorney in litigated matters. Before returning to public service, Mr. Gerold was an attorney with the law firm of Chiesa, Shahinian & Giantomasi PC, where he was a member of the firm’s Securities Litigation and Enforcement Group. Mr. Gerold received his J.D. from Seton Hall Law and B.S. in finance from Villanova University. Prior to attending law school, Mr. Gerold was a registered representative, having passed the Series 7 and 63 securities exams.
U.S. Assistant Attorney, The United States Attorney’s Office District of New Jersey
Nicholas Grippo is an Assistant United States Attorney in the Economic Crimes Unit of the U.S. Attorney’s Office for the District of New Jersey where he investigates and prosecutes a broad range of financial crimes. Mr. Grippo primarily focuses on securities fraud offenses, including insider trading, market manipulation, and investment fraud schemes. Prior to joining the U.S Attorney’s Office in 2012, Mr. Grippo worked in the litigation department of Greenbaum Rowe Smith & Davis LLP in Woodbridge, NJ handling commercial litigation and white collar defense matters. Mr. Grippo graduated from Rutgers Law School in 2007 and then clerked for the Honorable Joseph L. Yannotti of the New Jersey Superior Court, Appellate Division.
Vice President and Chief Legal Officer, Prudential Advisors
As chief legal officer for Pruco Securities, LLC (d/b/a Prudential Advisors)a registered FINRA broker-dealer and investment advisor, Hasan Ibrahim is responsible for handling a full range of legal matters that arise in connection with the operation of the retail broker-dealer firm, including the provision of counsel to the business’ senior management of Prudential’s domestic distribution system for insurance and investment products. Concurrently, Ibrahim acts as Prudential’s liaison with all State securities enforcement agencies.
Previously, Ibrahim served as Vice President and Corporate Counsel in the Regulatory Law Department of The Prudential Insurance Company of America where he provided legal coverage of regulatory matters and investigations across all lines of business and Corporate Center functions with respect to state, federal and international issues.
Prior to Prudential, Ibrahim spent several years providing bank regulatory and compliance advice, as well as general legal support at UBS Wealth Management Americas and Neuberger Berman Trust Company N.A.
Ibrahim holds an LL.M. in International Legal Studies from NYU Law and earned his J.D. from Seton Hall University School of Law. He earned his undergraduate degree from Rutgers University. Most recently, he was awarded the Top
Lawyers under 40 Award by the Hispanic National Bar Association.
Sheldon L. Pollock
Assistant Director, U.S. Securities & Exchange Commission
Sheldon L. Pollock is an Assistant Director for the Division of Enforcement in the U.S. Securities and Exchange Commission’s New York Regional Office. Prior to becoming an Assistant Director in 2015, Mr. Pollock was a Senior Counsel in Enforcement’s Market Abuse Unit, during which time he also served as a Special Assistant United States Attorney in the United States Attorney’s Office for the District of Connecticut. Before joining the SEC in 2010, he practiced law at Davis Polk & Wardwell LLP. Mr. Pollock began his career as a law clerk for the Honorable Colleen Kollar-Kotelly on the United States District Court for the District of Columbia from 2001 to 2003. Mr. Pollock received his JD from Harvard Law School in 2001, an M.Sc. in International Accounting and Finance from the London School of Economics in 1998, and a Bachelor of Science in Accountancy from Villanova University in 1997.
Peter Pearlman Esq.
Partner, Cohn Lifland Pearlman Herrmann & Knopf LLP
Peter S. Pearlman practices primarily in the area of commercial litigation in both federal and state courts. Cases in which Mr. Pearlman has been involved have been the subject of more than 60 published opinions, many of which have established important legal precedents.
He is admitted to practice and has represented clients before all state and federal courts in the State of New Jersey; the United States District Courts for the Southern, Eastern, and Northern Districts of New York and the Northern District of California; the United States Circuit Courts of Appeals for the First, Second, Third, Fourth, Seventh, and D.C. Circuits: and the United States Supreme Court, among others. He also regularly represents clients before FINRA, JAMS, and the American Arbitration Association.
Mr. Pearlman has been certified by the Supreme Court of New Jersey’s Board on Trial Attorney Certification as a civil trial attorney continuously since that certification first became available. He is AV rated by Martindale-Hubbell and has been recognized in Best Lawyers in America, as well as SuperLawyers in New Jersey for Business Litigation continuously in every year since that recognition first became available. He also is listed in SuperLawyers Corporate Counsel.
He is a member of the Lawyers’ Advisory Committee to the U.S. District Court District of New Jersey, is co-chair of the Class Action Committee of the New Jersey State Bar Association, and served for ten years as a trustee of the Association of the Federal Bar of New Jersey. In 2017, he was selected by the Association of the Federal Bar of New Jersey and the New Jersey Commission on Professionalism in Law as a recipient of the Professional Lawyer of the Year Award.
Mr. Pearlman has lectured on topics involving business litigation for the American Bar Association and the New Jersey Institute for Continuing Legal Education. He has taught trial advocacy for the National Institute of Trial Advocacy and trial and appellate skills at Hofstra, Widener, and Roger Williams Schools of Law.