Areas of Practice
News & Events
Areas of Practice
Commercial Litigation
Corporate and Business Law
Labor and Employment Law
Securities Law
Education
J.D.,
The University of Pittsburgh Law School, 1987
B.A.,
Emory University, 1984
Bar Admissions
New Jersey, 1987
Court Admissions
U.S. District Court, District of New Jersey, 1987
U.S. Supreme Court, 1993
Professional Affiliations
Board of Arbitrators for the National Association of Securities Dealers
Contributor, Compliance Reporter
Contributor, Securities Regulatory Update
Contributor, American Banker
Founder and Co-Chair, the New Jersey State Bar Association’s Securities Litigation and Regulatory Enforcement Committee
Speaker, National Society of Compliance Professionals
Speaker, National Regulatory Services
New Jersey State Bar Association
American Bar Association
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Richard C. Szuch Member
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Mr. Szuch is a partner and a member of the securities litigation and regulatory practice group based in our Florham Park office. He has extensive civil and criminal litigation experience with a concentration in securities litigation and regulatory enforcement defense. Mr. Szuch represents national and regional broker dealers, defending a variety of fraud-based claims, including allegations of insider trading, selling away, overtrading of customer accounts, misappropriation of customer funds, and the destruction of evidence related to pending investigations. He is currently defending broker-dealers and individuals in regulatory inquiries, arbitrations concerning securities transactions and employment disputes. In the past ten years, Mr. Szuch has prepared and defended more than one hundred witnesses called to give "on the record" interviews before the SEC and NASD. He lectures nationwide regarding securities issues and has consistently earned "A" ratings on his presentations. Mr. Szuch was recently nominated by his colleagues in New Jersey to receive the "Super Lawyers" award for securities litigation. Mr. Szuch also regularly counsels public and private companies regarding employment and contract litigation issues.
News & Events
Firm Announcements
Richard Szuch Co-Authors Practical Compliance & Risk Management for the Securities Industry Article
Seven Bressler, Amery & Ross Attorneys Selected as 2007 New Jersey Super Lawyers
Speaking Engagements
The National Society of Compliance Professionals' ("NSCP") 2010 East Coast Regional Meeting on Detecting and Preventing Fraud National Society of Compliance Professionals (NSCP), National Membership Meeting National Regulatory Services (NRS), Annual Spring Compliance Conference NSCP First East Coast Regional Membership Meeting Ascendent Compliance Management Conference Employment Law & The Highly Compensated Employee: Handling Matters Involving Claims and Issues of Managers and Business Employees National Society of Compliance Professionals (NSCP), National Membership Meeting Broker Dealer Fundamentals of Compliance Trading Conflicts of Interest Securities Arbitration: Arbitrators and Mediators – Winning Their Hearts and Minds Meeting the Investment Needs of a Changing Client Base: Advising Seniors – Opportunities and Challenges Employment Law and the Securities Industry Retaliation and the Workplace: Investigating the Whistleblower Retaliation Claim Senior Client Symposium: Heightened Scrutiny and Changing Demographics The Compliance-Centric BD/RIA BD Regulatory Audits Tips on Surviving a Regulatory InspectionPublications
Practical Compliance & Risk Management for the Securities Industry, July-August 2009Seniors - The Laws, The Rules, The Cases
Practical Compliance & Risk Management for the Securities Industry, Vol. 2, No.1What's So Special About Seniors Anyway?
National Society of Compliance Professionals, Inc.When the Baby Boom Era Becomes the Retirement Explosion - A Securities Compliance Professional's Guide to Protecting Her Firm and Senior Customers
National Regulatory Services Spring Compliance Conference: Tips on Surviving a Regulatory Inspection – April 2006
National Regulatory Services Fall Compliance Conference: Recent Regulatory Examination Findings – October 2005
National Association of Securities Dealers National Meeting – Broker Dealer Red Flag Review - October 2005
National Regulatory Services Spring Compliance Conference
Compliance & Legal Working Together in Undertaking Internal Investigations – April 2005
“What You Need To Know About Electronic Communications,” Richard C. Szuch and Mary Calhoun, Currents, A publication of the National Society of Compliance Professionals
“The Noise Over the Noisy Withdrawal Requirement: Issuer’s Counsel’s Obligations Under Sarbanes-Oxley,” Richard C. Szuch and Stephen M. Plotnick, Securities Regulatory Update
“Fundamentals of Broker Compliance,” Richard C. Szuch and Jane Bates, presentation to National Society of Compliance Professionals National Membership Meeting
“Regulatory Red Flag Review,” Richard C. Szuch and Robert Axelrod, presentation to National Society of Compliance Professionals Regional Conference
“Circuit Split: The Reform Act’s Impact on the Scienter Requirement in Securities Fraud Cases,” Richard C. Szuch and A. Matthew Boxer, New Jersey Law Journal
National Association of Securities Dealers National Meeting – BD Supervision (Small Firms) – October 2004