“As litigators, we are typically consulted by a client after something has already gone wrong. Our goal is to provide the highest quality representation we can so that our client can quickly and efficiently resolve the issue and get back to focusing on their business.”
Dominick Evangelista is the firm’s Chief Operating Officer and a member of the firm’s Executive Committee. He is a Principal in the firm’s Securities Litigation and Regulation group. He is a highly experienced litigator with over twenty years experience defending corporate and individual clients before federal and state courts, as well as before the Financial Industry Regulatory Authority (FINRA) and other self-regulatory agencies.
Dominick’s practice focuses on the representation of global broker-dealers and registered representatives in FINRA arbitrations and mediations against sales practice allegations including unsuitability, selling away, misrepresentation and fraud in the purchase and sale of securities. He also has extensive experience defending clients in product related litigation stemming from the offer and sale of annuities, mutual funds and preferred securities. In addition, Dominick represents corporate and individual clients in FINRA regulatory matters against a wide range of sales practice allegations and other security rule violations. In his practice, Dominick often advises clients on legal and regulatory trends and current issues, and speaks annually at client’s Legal and Compliance seminars on these topics.
Dominick understands securities law both from a management and legal perspective, as he began his career in-house in the legal department of a national broker-dealer and has worked closely with both the business side and legal departments over the years to provide his clients with the best possible representation. Dominick has lectured on issues relevant to the securities industry, and often participates in panel presentations on arbitration, mediation and heightened scrutiny for senior investors.
- Successfully defended broker-dealer against claims of $80 million in damages incurred as a result of a failed naked options strategy
- Successfully defended global broker-dealers and registered representatives in FINRA arbitrations, mediations and in state court relating to trading losses incurred during the tech bubble meltdown and the financial crisis
- Successfully defended global broker-dealers in FINRA arbitrations, mediations and in state court concerning allegations relating to preferred securities and mortgage-backed securities
News & Publications
- March 20, 20112011 SIFMA Compliance and Legal Society Annual Seminar
On March 22, 2011 Dominick Evangelista will be a panelist at the SIFMA Compliance and Legal Society Annual Seminar. Topics will include: Arbitration I: Impact of Pub… Read more
- May 7, 20102010 SIFMA Compliance and Legal Annual Conference
On May 7, 2010 Andrew Sidman and Brian Amery will be panelists at the SIFMA Compliance and Legal Annual Seminar. Mr. Sidman's topics will include: preparation prior … Read more