About
James represents financial institutions, broker-dealers, registered investment firms, executives, and individual advisors in federal and state litigation, arbitration, regulatory proceedings, and investigations. He also counsels on mergers and acquisitions, practice purchase and protections, raiding, and recruiting, including guidance on restrictive covenants and the Protocol for Broker Recruiting.
Practice areas
ArbitrationCommercial LitigationExecutive Compensation and SeparationFinancial Services, Investment Funds, and Regulatory ComplianceInternal InvestigationsLabor & Employment Advice and CounselLabor and Employment DisputesSecurities Litigation, Regulatory Investigations, and EnforcementWhite Collar Defense
Office
Expertise
Financial ServicesInvestment AdvisoryBankingHealthcare
Education
- Fordham University School of Law, J.D., Magna Cum Laude
- Duke University, B.A.
- The Lawrenceville School
Admissions
- New York State Bar Association
- New York County Lawyers Association