Rafael Rosario Jr. is a litigation and regulatory defense lawyer with a broad range of commercial and securities-related experience. He uses his varied litigation and internal investigatory experience to help clients navigate difficult times and effectively manage risks.
In his litigation practice, Rafael counsels individual, small business, and large financial institutional clients. As part of that practice, he represents broker-dealers and registered representatives facing arbitration and expungement proceedings before FINRA. He also advises clients facing contract disputes, white-collar criminal, insurance coverage, and employment matters before administrative agencies, and state and federal courts.
In his regulatory defense practice, Rafael has experience conducting large-scale internal investigations concerning matters initiated by the SEC, FINRA, and state securities regulators. In addition to counseling broker-dealers and investment advisers in these matters, he has also represented compliance professionals suspected of violating supervisory and applicable laws and regulations.
Before joining Bressler, Rafael was a law clerk for the Honorable Michael A. Hammer, U.S. Magistrate Judge in the District of New Jersey. He began his career with the Law Department of Prudential Financial where he investigated regulatory complaints concerning alleged violations of FINRA and SEC rules, and helped secure a temporary restraining order against former employees accused of misappropriating company trade secrets. Rafael later practiced as a litigation associate with a large international law firm in New York where he successfully argued an amicus brief before the Third Circuit Court of Appeals, and with a large regional law firm in New Jersey where he defeated motions to dismiss bad faith insurance coverage claims.
- Defend chief anti-money laundering compliance officer, and other senior compliance professionals, in FINRA inquiries concerning the supervision and effectiveness of AML trading surveillance systems, and the adequacy of written supervisory procedures.
- Conduct internal investigations concerning regulatory inquiries from FINRA, the SEC, and other state securities regulators concerning anti-money laundering, client disclosures, trading policies, and other compliance issues.
- Defeat summary judgment and obtain new venue for multi-jurisdiction cases concerning a deceased client’s retirement accounts.
- Successfully represent financial institution seeking guardianship to protect an elderly client from financial exploitation.
News & Insights
- Firm News, 12.14.2015
Speaking Engagements & Events
- Alert, 07.11.2019
- Publication, American Bar Association , 09.05.2017
- Alert, 09.01.2016
Associations & Organizations
- Hispanic National Bar Association
Areas of Practice
- Rutgers University School of Law - Newark, J.D., 2009
- Fordham University, B.A., Philosophy, 2005
- New Jersey
- New York
- U.S. Court of Appeals, Third Circuit
- U.S. District Court, District of New Jersey
- U.S. District Court, Eastern District of New York
- U.S. District Court, Southern District of New York