Areas of Concentration

  • Securities and Commodities litigation, including E-discovery matters
  • Employment Law
  • Administrative law, including enforcement defense
  • Alternative Dispute Resolution, including AAA, FINRA, JAMS, State Court mandated mediation
  • Regulatory Compliance counseling, including 1933 Act, 1934 Act, and 1940 Act matters
  • Corporate Governance and Board Fiduciary matters
  • Commercial and Contract matters
  • Public Offerings, private placements
  • Cyber Security and Privacy
  • Internal Investigations
  • Insurance law, products and services
  • Procurement Law

Sample Clients

  • National, Regional and Independent broker-dealers and their principals and staffs
  • SEC and State registered investment advisors and IAR’s
  • Public/Private Funds
  • Insurance company broker-dealer and subsidiary’s advisors and affiliates
  • Private Investors
  • Transitioning producers, traders, management

Experience

Paul A. Lieberman joined Eaton & Van Winkle on January 30, 2015, having more than 30 years legal experience, spanning government, private industry and law firm positions focusing on administrative, regulatory compliance matters, and all aspects of litigation.

Mr. Lieberman represents a diverse range of broker-dealers, advisors and funds, frequently developing Early Case Assessment Strategies stressing in-depth factual investigation and analysis of regulatory requirements and legal precedents in assessing the relative merits of claims and defenses, leading to successful results.

Mr. Lieberman’s unique strength lies in the coordination with client “teams” in the review and development of enhancements to policies, procedures, training, and implementation of strategic changes, including Cyber Security and Privacy issues.

Mr. Lieberman has a distinguished record of achievement on behalf of clients in the resolution of complex SEC, CFTC, FINRA and state regulatory investigations and enforcement proceedings. Mr. Lieberman has prosecuted and defended many arbitration and reparation proceedings and reached successful mediations on behalf of clients.

Mr. Lieberman has also assisted clients in the selection of “best of breed” expert vendors in E-discovery matters, and managing the spectrum of Electronic Discovery Reference Model (“EDRM”).

Representative Matters

  • Review and revision of firm’s policies and procedures, Codes of Ethics and training programs.
  • Monitored compliance of client’s undertakings in SEC settlement agreements, and assisted clients in development and implementation of revised compliance policies/procedures, including supervision matters.
  • Counseled senior management and CCOs in meeting examination challenges and coordinating responses to document requests and reviews of internal risk assessments.
  • Advised clients in a wide range of securities and advisory issues affecting broker-dealers, investment advisers and hedge funds, including supervisory, back-office/operations matters, and regulatory compliance affecting officers, directors, employees, independent contractors and staff.
  • Represented producer teams and individuals in Broker Protocol transitions, including protocol training, review of compensation packages forfeited and negotiation of new compensation arrangements.
  • Addressed termination disclosures and State/FINRA registration issues.
  • Registration and disclosure matters with state insurance departments
  • Advised clients on carrier due diligence and selection, policy coverage, for D & O, E & O, fidelity bonds, and renewal/disclosure matters.
  • Debt/Equity underwritings and private placements

Representative Litigation Matters

  • Successfully defended investor adviser during SEC regional office investigation and subsequent Wells submission and negotiations, resulting in adviser not being named in the proceeding.
  • Represented clients in the defense of SEC, DOJ, CFTC, FINRA and State securities commission investigations and enforcement proceedings.
  • Challenged enforcement recommendations with Wells-type mitigation responses.
  • Defended BD, RIA’s, Funds officers and affiliated brokers in customer disputes.
  • Representation of witnesses/targets in all aspects of criminal/white collar crime investigations, including sanction negotiation.
  • Defended CTA’s, CPO’s and FCM’s before CFTC  enforcement matters and customer-initiated reparations proceedings.
  • Defended insurance agents and brokers in customer-related disputes and industry sales practices matters.
  • Represented clients in the financial services sector and other commercial enterprises, in employment litigation, alternative dispute resolution proceedings.
  • Utilizing Early Case Assessment Strategies (ECAS) and a client-centric, results oriented approach, generated solutions for commercial/business litigation, employment, trade secrets, and non-compete/non-solicitation issues, including prosecution and defense of applications for injunctive relief, in both state and federal courts.
  • Represented individuals and teams in completing Broker Protocol compliant transitions, including negotiating financial arrangements.
  • Represented BD/Investment Advisor clients in defense and prosecution of arbitrations and mediations involving breach of contract, wrongful termination/discharge, enforcement of restrictive covenants.
  • Represented clients in defense or assertion of age/race discrimination claims.

Admissions

  • District of Columbia, 1977
  • New Jersey,  2004
  • New York, 2014

Affiliations, Certifications & Degree
American Bar Association

  • Litigation Section

District of Columbia Bar Association

New Jersey State Bar Association

  • Law and Employment Law Section
  • Securities Litigation and Regulatory Enforcement Committee

New York State Bar Association

  • Commercial and Federal Litigation Section
  • Dispute Resolution Section
  • Business & Commercial Law Committee Member
  • Committee on Corporate Litigation Counsel
  • ComFed Committee on Arbitration and ADR

SEC Alumni Association Member

SEC Enforcement Alumni Member

Former member of PSA, Independent Firms Subcomittee

Society of Financial Services Professionals, Member

Corporate Counsel Association

  • Association of Securities and Exchange Commission Alumni
  • Securities Regulators Network

The National Society of Compliance Professionals, Inc., Member

Representative Lectures & Seminars

2014

  • Misuse of Social Media
  • Privacy and Cyber Security
  • Mock SEC/FINRA Exams
  • AML examinations
  • Client Alerts on current developments involving BD’s, IA’s and Funds.

2013 and earlier

  • Compliance and Supervision in the Current Regulatory Environment, Broker-Dealer Investment Adviser Training Program, September 19, 2013
  • Dodd-Frank Act/Financial Overhaul Reform Act, Impact on Investment Advisers
  • Financial Industry Products in a Nutshell, covering Managed Futures, VA’s; Suitability, Alternative Investments and Regulatory Developments affecting VA’s, REIT’s and Private Placements
  • The Holy Trinity: Suitability, Supervision and Sales Practices
  • Best Practices for Avoiding and Managing Legal Disputes
  • AML Requirements Tutorial
  • How to Survive SEC, FINRA and State Examinations
  • Compliance Issues Posed by LinkedIn, Blogging and Social Networking Sites
  • Exploring Compliance, Legal and Regulatory Issues of Collaborative Divorce Process
  • Going Independent Workshop, Investment News, Stamford, CT, June 18, 2010
  • Fiduciary Duty, Conflicts of Interest, Disclosure & Suitability Determinations, FPANJ conference, Woodbridge, New Jersey, March 2010
  • Navigating the Regulatory Waters, Society for Financial Service Professionals, Phoenix, Arizona, May 2009
  • New Variable Annuities Rules and Avoiding Client Complaints, Society for Financial Service Professionals, Red Bank, New Jersey, December, 2009
  • Case Studies in Customer Complaints, Regulatory Matters & Internal Investigations, Market Counsel Member Summit, Princeton, New Jersey, October 2009
  • Compliance Issues Posed by LinkedIn, Blogging For Broker-Dealers, Schwab, March, 2009
  • Keys to Managing and Supervising Independent Contractors, Securities Industry Association, Dallas, Texas, 2001

Education

  • American University, Washington College of Law (Juris Doctorate, 1973)
  • City College of New York, (Bachelor of Arts, 1970)