Joel Forman defends financial services companies and professionals in securities litigation and government investigations concerning allegations of corporate and individual misconduct. His litigation experience includes federal and state court trials and appeals, arbitrations and mediations involving sales practices and supervision, insider trading, money laundering, prime brokerage, trade execution and clearing, research, privacy and cybersecurity, public and private funds, commodity futures, variable annuities, securities lending, and sales charges, fees and commissions.
In government enforcement matters, Joel represents clients before the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission, CME Group Inc., Financial Conduct Authority (UK) and state securities regulators in inquiries, investigations, cycle, sweep and cause examinations, Wells submissions, actions and administrative proceedings covering a considerable range of purported misconduct. He also represents companies in SEC broker-dealer and investment adviser registrations, disclosure documents including investment adviser brochures, as well as filing new and continuing membership applications with FINRA. Joel previously served as a staff attorney for the New York Regional Office of the U.S. Securities and Exchange Commission in the Division of Enforcement. Joel’s broad base of clients includes broker-dealers, investment advisers, investment banks, commodity futures trading firms, mutual funds, hedge funds, boards of directors and industry executives, managers and employees.
In 2015 and 2016, Joel was named a BTI Client Service All-Star – a recognition of attorneys across the United States who are unsurpassed in their delivery of client service.