Fredric A. Leslie

Fredric A. Leslie is Of Counsel to the firm, where he practices securities litigation and FINRA arbitration. He possesses comprehensive general practice and in-house counsel experience in transactional, litigation, and securities regulatory matters.

For twelve years he was General Counsel to a FINRA-member broker-dealer specializing in over-the-counter (OTC) equity securities proprietary trading and market-making. He was responsible for designing and implementing the firm’s internal policies and procedures to ensure compliance with SEC, FINRA, federal, and state regulatory requirements. During his tenure he interfaced with federal, state, and other regulatory authorities supervising examinations, sweeps, inquiries, document requests, and subpoenas. He resolved firm and counterparty legal claims through mediation, arbitration, and litigation.

Mr. Leslie has a B.S. from The Wharton School of the University of Pennsylvania and a J.D. from Boston University School of Law.

He is admitted to practice in New York and before the Supreme Court of the United States, the U.S. Court of Appeals for the Second Circuit, the U.S. District Court for the Southern District of New York, and the U.S. District Court for the Eastern District of New York.