LAWYERS

We are pleased to announce that Paul A. Lieberman has joined Ballon Stoll P.C. as a partner, and please join us in giving Paul a hearty welcome to the Firm in this new position as Chair of our Cybersecruity and Data Privacy practice group, and as a valuable member of the Commercial Litigation, ADR, and Corporate Transactions departments based on his extensive and diversified experience in business and regulatory matters. 

 

We are excited about integrating his innovative ideas and perspectives to our Firm that strengthens its capabilities and services to its diverse client base. Paul has a diversified legal practice devoted to representing clients in the financial services, banking, and insurance sectors utilizing his extensive transactional and regulatory experiences gained from a combination of government, industry, and private law firm positions. 

 

REPRESENTATIVE MATTERS

 

• Review and revision of BD, RIA, CTA / CPO, Corporate and Non-Profit policies and procedures, Codes of Ethics and training programs.

• Monitored compliance of undertakings in SEC settlements, and developed and implementated with revised corporate governance/compliance policies/procedures.

• Counseled management 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, insurance GA/CA’s and hedge funds.

• Represented purchaser in corporate transaction involving both domestic US and foreign parties.

• Represented business owner in ‘build to suit’ commercial real estate and warehouse project with purchase option.

• Represented corporation establishing multiple Delaware “captive insurance” companies. 

• Counseled on Cybersecurity and Data Privacy matters, including state rules / regulations.

• Debt / Equity underwritings, private placements and alternative investments.

• Obtained pre-hearing summary judgement award from AAA three member panel in multi-party matter. 

• Represented clients in the defense of SEC, DOJ, CFTC, FINRA and State securities commission investigations and enforcement proceedings, successfully challenged enforcement recommendations with Wells responses.

 

Paul A. Lieberman is admitted to bar in NY, NJ, and DC. For over nine decades, Ballon Stoll P.C. attorneys have provided their expertise to create innovative solutions aligning with each client's requirements.