Practice Areas - Commercial Litigation
- Securities Litigation
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- Corporate Law
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| University | Sacred Heart University, B.A., B.S., 1987 |
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| Law School | University of Bridgeport, J.D., cum laude, 1990 |
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| Admitted | 1990, Connecticut; 1991, New York, U.S. District Court, Southern and Eastern Districts of New York and District of Connecticut; 1993, U.S. Court of Appeals, Second Circuit |
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| Biography | Associate Editor, Law Review. |
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| ISLN | 901686969 |
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Documents by this lawyer on Martindale.com | |
Court Grants Broker’s Request for Expungement of Complaint over FINRA’s OppositionFred N. Knopf,Martin S. Schexnayder, December 12, 2011 A Texas federal judge recently granted a securities broker’s request for expungement of a prior complaint from his record, despite FINRA’s opposition to same. In a written opinion, The Honorable Sam Sparks of the Western District of Texas noted that there was little guiding authority as...
SEC Proposes Changes to Reporting RequirementsFred N. Knopf, July 14, 2011 On June 15, 2011, the Securities and Exchange Commission (SEC) announced proposed changes to SEC rules under the Securities Exchange Act of 1934 that would impact broker-dealers’ reporting and compliance requirements. It appears that the SEC is proposing these various amendments to more... |
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