Steven J. Rotunno has more than three decades of experience representing corporations, partnerships and financial services professionals in complex and wide-ranging legal matters, including investment advisory services, securities matters, employment law, title insurance claims and general commercial litigation.
He represents clients before federal and state courts, as well as the Securities and Exchange Commission, New York Stock Exchange, Financial Industry Regulatory Authority, and the American Arbitration Association in issues involving restrictive covenants, regulatory investigations and business disputes. He provides counsel to individuals and registered investment advisory firms in connection with mergers and acquisitions and preparing the Form ADV, client investment management agreements, compliance manuals and other necessary documents. He also serves as an arbitrator for the Financial Industry Regulatory Authority.
Steve is a frequent speaker on business issues, including the ever-evolving securities regulatory environment, restrictive covenants in employment agreements, business succession plans and contract enforcement.
