- Trial Practice
- Corporate Criminal Investigations
- Corporate Compliance Programs
- Product Liability and Tort Litigation
- Securities and Shareholder Litigation and SEC Enforcement
|University ||Syracuse University, B.A., 1985|
|Law School||Benjamin N. Cardozo School of Law, Yeshiva University, J.D., 1988; New York University, LL.M., 1994|
|Admitted||1988, Connecticut; 1989, New York|
Law Clerk to Judge Reed, U.S. District Court, Eastern District of Pennsylvania, 1991-1993. Staff Attorney, 1988-1990, Branch Chief, 1990-1991, Division of Enforcement, U.S. Securities and Exchange Commission.
Documents by this lawyer on Martindale.com
New York State Department of Financial Services Proposes Comprehensive Bitcoin Regulations
Robert W. Gaffey,Harold K. Gordon,Henry Klehm,Howard F. Sidman,Jayant W. Tambe, September 2, 2014
The New York State Department of Financial Services ("DFS") recently became the first state regulator to propose a regulatory framework for the bitcoin virtual currency industry. DFS posted its "Regulation of the Conduct of Virtual Currency Business" on its website, as well as...
The New York State Department of Financial Services' Recent Enforcement Efforts
Sarah D. Efronson,Harold K. Gordon,Bart Green, May 16, 2014
As we have previously noted, the New York State Department of Financial Services ("DFS") has emerged as an aggressive watchdog of financial institutions and insurers doing business in New York since its inception in October 2011. In the past year, DFS continued to investigate and regulate...
The SEC's First Deferred Prosecution Agreement Involving an Individual: Questions Remain
Lynsey Morris Barron,Harold K. Gordon,Henry Klehm,Joan E. McKown, February 5, 2014
With much fanfare three years ago, the Securities and Exchange Commission ("SEC") announced a Cooperation Initiative as part of an overall effort to strengthen its enforcement program. Modeled on the 2001 "Seaboard Report," the Cooperation Initiative sought to encourage...
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