Paul A. Lieberman has a distinguished legal practice devoted to client-centric representation in the financial services industry, including broker-dealers, investment advisers, public and private investment companies, insurance companies, registered representatives, financial advisers, agents and associated staff.
He regularly counsels clients on issues relating to formation and governance, regulation, litigation, compliance, employment, and risk management, supervision, cybersecurity and privacy. Mr. Lieberman also handles various commercial and corporate transactions; including venture capital financing, under-writings, and private placements.
Mr. Lieberman has more than three decades of experience preparing and revising policies and procedures, developing effective supervision structures, underwriting, research, Chinese Walls and insider trading requirements, assisting in firm training programs, mock exams, product development, leading and coordinating internal investigations and defending regulatory enforcement proceedings before the SEC, FINRA and state securities departments/commissions. He advises clients in effecting Broker Protocol compliant transitions, negotiating financial packages, and assists in a diverse range of employment/HR-related matters, including pre-hire due diligence, U4/U5 disclosures, restrictive covenants, and non-solicitation/non-competition provisions.
Mr. Lieberman is admitted to practice law in New York, New Jersey, District of Columbia, and the United States District Court of the Eastern and Southern Districts of New York.