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July 1, 2010
Michaels, Ward & Rabinovitz, LLP Partner Featured Speaker on Financial Services Institute Web Seminar
Michaels, Ward & Rabinovitz, LLP partner Derek Anderson was recently featured as a lecturer during a web-based seminar sponsored by the Financial Services Institute. In the presentation, Mr. Anderson offers his insight to FSI members in connection with the state of variable annuities. He reviews the current requirements of FINRA Rule 2330, provides guidance on evaluating and applying techniques to ensure compliance with annuity suitability requirements, and discusses state insurance suitability requirements.
FSI is an organization devoted to advancing the interests of independent broker-dealers and the independent financial advisors they serve. They do this by engaging federal and state regulators and elected officials on topics of significance to their members and responding to emerging issues. FSI has 117 broker-dealer member firms, with more than 138,000 registered representatives serving more than 14 million American households. FSI also has over 12,500 independent financial advisor members. For additional information about FSI, visit www.financialservices.org.
June 14, 2010
Michaels, Ward & Rabinovitz, LLP Announces the Hiring of John Wells
Michaels, Ward & Rabinovitz, LLP is pleased to announce that John Wells has joined the firm as an associate in its Boston, Massachusetts office. Mr. Wells is a 1999 graduate of the Georgia State University College of Law. Mr. Wells will continue to focus his practice in the area of business and securities litigation and arbitration for Michaels, Ward & Rabinovitz, LLP clients in Boston and nationally.
April 26, 2010
Michaels, Ward & Rabinovitz, LLP Announces Recent Bar Admissions
In our continuous endeavor to provide our clients with the best representation possible, Michaels, Ward & Rabinovitz has expanded the firm’s national focus by recently earning admittance to practice law in additional states across the country. We are pleased to announce the following additional bar admissions for our attorneys: David Ward in Montana, Dan Rabinovitz in Florida, and Derek Anderson in California. While our practice continues to grow, our commitment to provide our clients with personalized service remains unwavering.
April 21, 2010
Michaels, Ward & Rabinovitz, LLP Partner Featured at Catlin Consortium
Derek Anderson, the managing partner of the firm’s Boulder, Colorado office, has been invited to address Catlin, Inc.’s Broker Dealer Consortium on April 28, 2010 in Boca Raton, Florida. Mr. Anderson will address the Consortium regarding due diligence issues in connection with alternative investments. The annual meeting brings together clients, broker/dealers, registered representatives and strategic business partners to discuss current issues facing the securities industry.
February 8, 2010
Michaels, Ward & Rabinovitz, LLP Partner Publishes “The Ins and Outs of E&O Coverage”
Michaels, Ward & Rabinovitz, LLP partner Pete Michaels offers insight into errors and omissions policy for financial advisors in his recent article published in the February 2010 edition of The Florida Review, a publication of the Florida Securities Dealers Association, Inc. A copy of this article can be accessed by clicking here. 
January 5, 2010
Michaels, Ward & Rabinovitz, LLP Partner Publishes “Broker Charm School”
Michaels, Ward & Rabinovitz, LLP partner Pete Michaels has a featured article in the January 2010 edition of the Florida Securities Dealers Association, Inc.’s publication The Florida Review. A copy of this article can be accessed by clicking here .
January 4, 2010
Michaels, Ward & Rabinovitz, LLP Announces the hiring of Amber Daniel
Michaels, Ward & Rabinovitz, LLP is pleased to announce that Amber Daniel has joined the firm as a paralegal in the Colorado office. Ms. Daniel has worked for several large firms in Denver, Colorado. Ms. Daniel received her Associate of Applied Science in Paralegal Studies from the Institute of Business and Medical Careers in Fort Collins, Colorado.
December 1, 2009
Michaels, Ward & Rabinovitz, LLP Partner Publishes “Defending – And Winning - Tenant In Common Due Diligence Arbitration Cases”
The Florida Securities Dealers Association, Inc., one of the oldest and largest state securities associations in the nation, has recently published an article by Derek Anderson, the managing partner of the Boulder, Colorado office, in its December 2009 issue of The Florida Review. A copy of the article can be viewed here.
November 2, 2009
Michaels, Ward & Rabinovitz, LLP Announces the hiring of Michael Pippenger
Michaels, Ward & Rabinovitz, LLP is pleased to announce that Michael R. Pippenger has joined the firm as an associate in its Boulder, Colorado office. Mr. Pippenger is a 2004 graduate of the University of Denver Sturm College of Law. Mr. Pippenger was most recently associated with Rothgerber, Johnson & Lyons, LLP in Denver, Colorado where his practice was concentrated in the areas of securities litigation and regulation. Mr. Pippenger will continue to focus his practice in those areas for Michaels, Ward & Rabinovitz, LLP clients in Colorado and nationally.
October 26, 2009
Michaels, Ward & Rabinovitz, LLP Attorneys Receive 2009 Super Lawyer Honors
Michaels, Ward & Rabinovitz, LLP is proud to announce that Pete S. Michaels , David Ward, and Daniel M. Rabinovitz have been listed in the 2009 edition of New England Super Lawyers, as featured in the November issue of Boston Magazine. Michaels, Ward & Rabinovitz, LLP attorneys Brady Hermann, Cliff Anderson and Nicki Samson are featured in the same issue as “Rising Stars”. The Super Lawyers selection process creates a comprehensive listing of the nation’s top attorneys in their respective practice areas.
Super Lawyers are the top 5 percent of attorneys in the state as chosen by their peers and through the independent research of Law & Politics. Super Lawyers 2009 is based on the survey of more than 800,000 attorneys across the nation who have been in practice for five years or more.
All Super Lawyer winners are selected through a four-part selection process that includes a ballot and point system established by the publishers of Law & Politics magazine followed by a panel review, interviews, independent research and a final selection process. Lawyers nominated are evaluated by
evidence of peer recognition, professional achievement and service to the community as a lawyer, including pro bono work. For more information visit www.superlawyers.com .
Messrs. Michaels, Ward, and Anderson and Ms. Samson were chosen in securities litigation, and Messrs. Rabinovitz and Hermann were selected in the field of business litigation. In addition, all six lawyers will also be listed in the national publication, Super Lawyers Corporate Counsel Edition, to be published in early 2010.
October 18, 2009
Michaels, Ward & Rabinovitz, LLP Partner Featured at REISA Conference
Derek Anderson, the managing partner of the firm’s Boulder, Colorado office, was invited to address the Real Estate Investment Securities Association (“REISA”) Conference in Las Vegas, Nevada October 18, 2009. Mr. Anderson was asked to address the Conference on regulatory and criminal issues facing that portion of the securities industry, specializing in tenant in common real estate syndications. REISA is a leading industry group whose broker-dealer and registered representative members specialize in selling alternative investments.
September 28, 2009
Michaels, Ward & Rabinovitz, LLP Opens New York City Office
Michaels, Ward & Rabinovitz, LLP is pleased to announce the opening of its new office at 445 Park Avenue in New York City. Susan Harkins will be the managing partner of the office. For over twenty years, her practice has concentrated on the defense of securities cases brought against large broker dealers and their employees. Ms. Harkins has worked at some of New York City's most prestigious law firms, and also served as an Assistant United States Attorney for the Southern District of New York. She also clerked for U.S. District Judge Henry F. Werker of the Southern District. In 1991, Ms. Harkins joined the in-house legal department of Smith Barney, Harris, Upham & Co. Inc. Ms. Harkins spent eleven years at Smith Barney, defending the firm in proceedings throughout the United States.
In 2002, Ms. Harkins moved to Merrill Lynch, Pierce, Fenner, & Smith, Inc. where she served as the Divisional Counsel for the Mid-Atlantic and Southeast Divisions of the firm's retail branch network. In 2008, she was named the deputy manager of Merrill Lynch's Core Litigation Group, which handled issues relating to margin and other asset-based lending products, fraud, theft, and other significant disputes. Ms. Harkins can be reached at (212) 541-3780, and her email address is seh@michaelsward.com .
September 24, 2009
Michaels, Ward & Rabinovitz, LLP participates in the Second Annual Back to School Project for Homeless Children
Michaels, Ward & Rabinovitz, LLP hosted its Second Annual Back To School project in August to benefit the Massachusetts Coalition for the Homeless (MCH). The firm paired up with the Massachusetts Paralegal Association to help provide back packs overflowing with school supplies to homeless children attending Boston Public Elementary Schools as well as schools in Dorchester, Brockton, Lynn, Revere and Lawrence. These donations help to boost the children’s self esteem while they are dealing with daily obstacles of domestic violence and poverty so they can feel good about themselves and can look ahead to the new academic year. It also sends a strong message to the children that their community cares about them and their education. Our efforts were once again led by paralegal Katelyn Thoms.
September 16, 2009
Michaels, Ward & Rabinovitz ,LLP Partner Presents at First Clearing Conference
Michaels, Ward & Rabinovitz, LLP partner Pete Michaels spoke in Washington, D.C. at the First Clearing Correspondent Services Compliance Roundtable. Mr. Michaels spoke on Emerging Trends in Regulatory Inquiries and Internal Investigations. The conference, which is attended by representatives from First Clearing’s Correspondent firms, focused on legal and compliance issues facing the securities industry.
August 30, 2009
Michaels, Ward & Rabinovitz Partner, LLP Publishes “Tenant in Common Arbitration Cases: Critical Issues for Firms and Brokers”
NSCP Currents, a publication of the National Society of Compliance Professionals, a leading securities industry organization, featured this article authored by Derek Anderson in its July-August 2009 issue. A copy of the article can be accessed by clicking here:
August 3, 2009
Michaels, Ward & Rabinovitz, LLP Announces the hiring of Kristi Heiman
Michaels, Ward & Rabinovitz, LLP is pleased to announce that Kristi Heiman has joined the firm as paralegal in the Boston office. Ms. Heiman is a graduate of LaSalle University with a Masters in Business Administration. Ms Heiman earned her Certificate in Paralegal Studies at the Main Line Paralegal Institute in Malvern PA. Ms. Heiman is a cum laude graduate of Villanova University.
July 24, 2009
Michaels, Ward & Rabinovitz, LLP Partner Interviewed by Financial Advisor Magazine
Michaels, Ward & Rabinovitz, LLP partner Derek C. Anderson was interviewed by Financial Advisor Magazine recently on the increased scrutiny securities regulators are giving to alternative investments. The article discussed the attention securities regulators and arbitration panels are giving to cases involving products such as tenancy in common real estate investments, hedge funds, asset backed securities, structured products, derivative products, and life settlements. The complete article can be seen by clicking the following link:
http://www.fa-mag.com/fa-news/4302-alernative-investments-under-scrutiny.html
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