Joel S. Forman
Shareholder
T: +1 (212) 407 7775
F: +1 (212) 407 7799
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New York
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Joel S. Forman is a Shareholder in the New York office and a member of the Litigation practice area.
Mr. Forman concentrates in litigation, arbitration, mediation, and enforcement investigations and proceedings by the SEC, self-regulatory organizations and state agencies. Mr. Forman represents clients in the broker-dealer, mutual fund, investment adviser and banking businesses. His trial and administrative law experience includes matters relating to sales practices, managed asset products, structured products, hedge funds, limited partnerships, research, securities lending, insider trading, money laundering, clearing, prime brokerage, customer privacy and data security, variable annuities, and insurance coverage. His practice also includes investment banker and retail producer compensation, employment and severance agreements, and regulatory reporting issues.
A graduate of the City University of New York, Queens College and St. John’s University School of Law, Mr. Forman served as a Staff Attorney for the SEC’s New York Regional Office, Division of Enforcement. He later served as Assistant General Counsel for United Merchants and Manufacturers, Inc., a publicly traded company. Mr. Forman is a member of the New York City Bar Association and the American Bar Association. He previously served on the Securities Regulation Committee of the New York City Bar Association.
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- J.D., with honors, St. John's University School of Law
- B.A., City University of New York, Queens College
- New York
- US District Court, Southern District of New York
- US District Court, Eastern District of New York
- US Court of Appeals, Second Circuit
- Member, American Bar Association
- Member, New York City Bar Association
- Member, Securities Industry Financial Markets Association, Compliance & Legal Division
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