Richard M. Rosenfeld

New York,  NY  U.S.A.
Phone212 506 2178

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Experience & CredentialsOther Offices

Practice Areas

  • Financial Services Regulatory & Enforcement
  • Investment Management
  • Foreign Corrupt Practices Act
  • Securities Litigation & Enforcement
  • Litigation & Dispute Resolution
  • Banking & Finance Litigation
  • Internal Investigations
Contact InfoTelephone: 212 506 2178
Fax: 212 262 1910
University Rutgers University, B.A., with highest honors
Law SchoolCornell Law School, J.D.
Admitted1995, Connecticut; 1995, Maryland; 1997, District of Columbia. (Not admitted in New York)

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US Securities and Exchange Commission Settles Its First Whistleblower Anti-Retaliation Case
Marcus Christian,Adam D. Kanter,Stephanie M. Monaco,Jerome J. Roche,Richard M. Rosenfeld, July 4, 2014
The US Securities and Exchange Commission (SEC or the Commission) has announced a $2.2 million settlement in the Commission’s first whistleblower anti-retaliation case. As part of the settlement order, the SEC charged Paradigm Capital Management, Inc., a registered investment adviser, and...

Cosmetics Company Agrees to Pay US$135M to Settle FCPA Claims
Joseph De Simone,Richard M. Rosenfeld,Allison J. Zolot, May 12, 2014
On May 1, 2014, it was announced that Avon Products, Inc., reached a settlement with US regulators over a long-standing federal probe into whether the cosmetics company paid bribes in China and other countries to gain favors. New York-based Avon agreed to pay $135 million in fines and other costs...

The SEC Requires Hedge Fund Harbinger Capital and its Manager Falcone to Admit Wrongdoing in Landmark Settlement
Kelly B. Kramer,Alexandra L. Newman,Richard M. Rosenfeld, August 26, 2013
The US Securities and Exchange Commission (SEC) recently announced that Philip A. Falcone, a New York-based hedge fund advisor, and the hedge fund he managed, Harbinger Capital Partners LLC (Harbinger Capital), have agreed to settle allegations of misappropriation of client assets, market...
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Office Information

Richard M. Rosenfeld

1675 Broadway
New YorkNY 10019-5820


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