CONTACT BARITZ & COLMAN LLP

FL OFFICE

1075 Broken Sound Parkway
N.W. Suite 102
Boca Raton, Florida 33487
Tel: (561) 864-5100
Fax: (561) 864-5101

NY OFFICE

The Woolworth Building
233 Broadway, Suite 2020
New York, New York 10279
Tel: (212) 886-1693
Fax: (212) 886-1694

Please email us at info@baritzcolman.com.

RESOURCES

COMMERCIAL LITIGATION EMPLOYMENT PRACTICE REAL ESTATE REGULATORY ADVICE ENTERTAINMENT LAW TRUSTS & ESTATES CORPORATE & BANKRUPTCY WHITE COLLAR CRIMINAL DEFENSE SECURITIES LITIGATION & ARBITRATION PROFESSIONAL LIABILITY THIRD PARTY SERVICES

OUR ATTORNEYS

NEIL S. BARITZ

nbaritz@baritzcolman.com Download Neil's vCard

Neil S. Baritz (nbaritz@baritzcolman.com) is the co-founder of Baritz & Colman LLP. Mr. Baritz has extensive experience in securities and corporate law, in both the transactional and litigation aspects of each. He represents brokerage and investment advisory firms and their respective employees and associated persons, clearing firms and securities issuers, principally in Florida and New York, as well as elsewhere in the United States and abroad. In addition, he regularly appears before arbitration panels of FINRA, the Financial Industry Regulatory Authority, throughout the United States on behalf of the industry and before securities regulatory bodies (state, federal and SRO) defending enforcement actions. Mr. Baritz also speaks regularly at industry seminars, principally in the area of “best practices.”

Mr. Baritz's involvement in the securities industry began in 1981, when he joined the legal department of EF Hutton & Company Inc. in New York while attending law school. From 1988 to 1991, he was General Counsel to Ehrlich Bober & Company, Inc., a New York-based broker/dealer, investment banking and SEC registered investment advisory firm, and its publicly traded (AMEX) parent/holding company. Thereafter, until the formation of the firm in 1996, he served as counsel to other publicly held companies in South Florida and was Of-Counsel to two major South Florida law firms where he continued to develop his securities practice.

Mr. Baritz graduated from the University of Rochester in 1980 and from Brooklyn Law School in 1983. He is a member of the bars of Florida and New York and is admitted to practice in the United States District Court for the Southern District of Florida, the United States District Court for the Middle District of Florida and the 11th Circuit Court of Appeals.

NANCY B. COLMAN

ncolman@baritzcolman.com Download Nancy's vCard

Nancy joined Baritz and Colman LLP. in May 2000 as a partner. Prior to joining Baritz & Colman LLP., Nancy was a partner with Quarles & Brady, LLP, a prestigious national law firm.

Nancy’s practice areas include general business/corporate law, mergers and acquisitions, commercial and residential real estate, commercial and construction lending, secured transactions, litigation consulting, mediation and bankruptcy.

Nancy’s business/corporate practice focuses on the drafting of initial corporate formation documents, negotiation and drafting of all types of business agreements (i.e. partnership and operating agreements), reviewing, negotiation and drafting of vendor contracts and employment agreements, buy/sell contracts and the like. She has extensive experience in drafting complex business contracts.

The scope of Nancy’s real estate expertise encompasses a wide spectrum including but not limited to: (a) representing clients in purchasing and selling of commercial properties; (b) portfolio acquisitions and dispositions; (c) IRC §1031 exchange transactions; (d) development of property and acquisition financing; (e) representation of lenders in commercial and construction financing transactions; (f) foreclosure/workouts; (g) commercial leases; and (h) title insurance. She is well versed in handling complicated securitized financing transactions including defeasances. Nancy also represents parties in the purchase and sale of residential property.

Further, Nancy counsels clients in all aspects of Chapter 7 and Chapter 11 bankruptcy proceedings, including adversary proceedings. Such counsel includes pre-bankruptcy planning as well as guiding clients through the complicated bankruptcy process, both from the debtor and creditor perspectives.

Nancy also serves as general outside counsel for several closely held businesses. In connection therewith, she provides counsel on business operations, management and employee issues, as well as reviewing and negotiating all types of business and vendor contracts.

Prior to focusing her practice on transactional matters, Nancy was a litigator. Her litigation practice involved handling business, commercial and real estate disputes. This litigation experience gives Ms. Colman a unique perspective when representing individual clients, corporate clients or lenders. She currently serves as a litigation consultant and is certified by the Supreme Court of Florida as a circuit court civil mediator handling business and corporate disputes.

Ms. Colman graduated from the University of Miami School of Law in 1987 and the University of Colorado in 1984. She is a member of the Florida Bar and is admitted to practice in the State Courts of Florida, the U.S. Districts for the Southern and Middle Districts of Florida, the U.S. Court of Appeals, Eleventh Circuit and the United States Bankruptcy Court for the Southern District of Florida.

DAVID RICHAN

drichan@baritzcolman.com Download David's vCard

David is a Partner and leads the firm’s New York Office. His practice for the past 25 years has concentrated on litigation and arbitration matters for the securities industry. He has represented broker-dealers, registered investment advisors, and investment banking firms, and their principals and representatives in a broad variety of matters nationwide, including disputes alleging unsuitability, unauthorized trading, fraud, market manipulation, blue-sky violations, as well as a wide variety of employment matters, including litigation and arbitration over allegations of gender, race, and age discrimination and compensation and “raiding” cases.

David represents clients in regulatory matters before the SEC, FINRA and state regulators. David also frequently represents clients in the state and federal trial and appellate courts in commercial disputes, including employment, real estate and trusts and estates matters.

David has served as a FINRA Industry Arbitrator and a New York City Civil Court Arbitrator. David is admitted to practice in the State Courts of New York, as well as the United States District Court for the Southern and Eastern Districts and the United States Court of Appeals for the Second Circuit.

David was previously a Partner in the Litigation Department of Blank Rome, where he had also been Associate. Prior to that, David had been an Associate at Skadden Arps. David received his law degree from the Beasley School of Law at Temple University in 1985.

Representative published and unpublished decisions in cases in which David has represented clients are available upon request.

JOHN D. STEWART

jstewart@baritzcolman.com Download John's vCard

John is a Senior Associate in the firm's New York office. John joined the firm in 2015. He specializes in litigation and arbitration, concentrating in the areas of business and commercial litigation; employment and securities law, including CRD expungement arbitrations; and criminal defense. John has successfully represented clients in Federal Court, State Court and in AAA and FINRA arbitrations.

Before joining Baritz & Colman LLP, John was an active duty Officer in the United States Army Judge Advocate General's Corps, where he served as a military prosecutor and defense attorney in Colorado, Korea and Afghanistan, earning a Bronze Star and two Army Commendation Medals. He is currently a Major in the United States Army Reserve where he serves as a Team Leader for a legal unit in New York. As a Judge Advocate, John has appeared before more than 30 courts-martial and negotiated dozens of pre-trial agreements on behalf of the government as well as individual clients. Prior to his military service, John was an Associate at a prominent large law firm in Manhattan where he concentrated his practice on bankruptcy litigation and transactional lending work. John also does pro bono work on behalf of veterans in the New York area. He received a Bachelor of Science degree in Biology from Tufts University in 1995, a Master of Social Work from New York University in 1998 and his Juris Doctor, magna cum laude, from Fordham Law School in 2007.

John is admitted to the New York State Bar and the United States District Courts for the Southern and Eastern Districts of New York.

ANDREW THOMSON

athomson@baritzcolman.com Download Andrew's vCard

Andy is a Senior Counsel in the firm's Boca Raton office. Andy concentrates his practice on resolving business disputes.

Andy represents a wide array of clients, from small local businesses and individuals to some of the world's largest corporations. His cases involve securities, contract disputes, business tort claims, employment disputes, and probate and guardianship disputes. Andy has also devoted substantial time to his pro bono clients.

Andy graduated from the Georgia Institute of Technology with a degree in electrical engineering and earned his law degree from the University of Miami School of Law. He previously served as a law clerk for Justice Kenneth Bell of the Florida Supreme Court. He is licensed to practice in Florida and before the U.S. Department of Veterans Affairs.

Florida Super Lawyers has recognized Andy as a Rising Star in 2013-2018, and in 2016 the Legal Aid Society of Palm Beach County awarded Andy its Non-Profit Award. Andy has lectured on legal issues at Florida Atlantic University's College of Education and on guardianship issues for the Palm Beach County Bar Association's Guardianship Training Program.

In 2018, Andy was elected to the Boca Raton City Council, where he's blessed to represent the almost 100,000 residents of our world-class city.

Andy lives in Boca Raton with his wife and their four young children.

HEATHER COOPER

hcooper@baritzcolman.com Download Heather's vCard

Heather joined Baritz & Colman LLP as an Associate in the firm's Boca Raton office in 2015, where she concentrates her practice in financial services litigation, commercial and residential real property transactions, and general business and corporate law. Heather represents broker-dealers, registered representatives, investment advisers and insurance agents before arbitration panels, state and federal courts, and regulatory bodies. Heather also represents buyers, sellers, landlords and tenants in all aspects of commercial and residential real estate transactions and lease matters, along with lenders and borrowers in financing transactions.

Prior to joining the firm, Heather worked as a law clerk at Florida's Office of Financial Regulation, where she gained a broad range of legal experience in the oversight of Florida's financial services providers. She received her Bachelor of Science summa cum laude from the University of Florida in 2010 before earning her Juris Doctor from the University of Florida Levin College Of Law in 2015. While in law school, Heather served as an editor for the Journal of Technology Law and Policy, as well as a member of the Corporate and Securities Moot Court Team.

Heather is licensed to practice in the State of Florida and is admitted to practice in the U.S. Districts for the Southern and Middle Districts of Florida.

ANDREW COLMAN

acolman@baritzcolman.com Download Andrew's vCard

Andrew joined Baritz & Colman LLP as an Associate in the firm's New York office in January 2019, where he concentrates his practice in the areas of commercial litigation and arbitration, including securities, employment and entertainment matters.

Prior to joining Baritz & Colman, LLP, Andrew was an Associate with Cole, Scott & Kissane, one of South Florida’s largest law firms, where he gained comprehensive litigation experience. He received his Bachelor of Arts from the University of Michigan in 2014 before earning his Juris Doctor from the George Washington University Law School in 2017. While in law school, Andrew worked as a law clerk for the U.S. Securities and Exchange Commission (SEC) and for the Financial Industry Regulatory Authority (FINRA). Andrew was a member of the Public Contract Law Journal.

Andrew is currently admitted to practice in Florida, New York, and New Jersey.

NED R. NASHBAN

nnashban@baritzcolman.com Download Heather's vCard

Ned, a partner in Baritz & Colman's Florida Office, has represented clients in the areas of commercial litigation, business law, bankruptcy, creditor's rights and problem loan workouts, for over four decades. Ned's practice focuses on prosecuting or defending commercial litigation, in business disputes, or related to bankruptcy cases, including preference and fraudulent transfer claims, non-dischargeability, litigation and the representation of purchasers of assets out of bankruptcy estates. He has also developed a substantial global maritime and admiralty practice in the areas of products liability, warranty claims, contract issues, dealership terminations and corporate transactional work. He works with clients worldwide, including those in the United Kingdom, Brazil, Mexico, Canada, China, Italy and Israel.

Prior to joining Baritz & Colman LLP, Ned was a partner at Glaser Weil Fink Howard Avchen & Shapiro LLP and is actively involved as a member of State of Israel Bonds' Board of Directors, an international organization offering securities issued by the Israeli government. He is also a member of the Palm Beach County Bar Association, the Broken Sound Club, Bankruptcy Bar of South Florida, American Bar Association and Commercial Law League of America.

Ned earned both his B.A. and his J.D. from the University of Wisconsin. He is admitted to practice law in Florida and Wisconsin.

Ned is admitted in the U.S. Supreme Court, the U.S. District Courts for three Districts of Florida, and U.S. District Courts for Eastern and Western Wisconsin.

DANIEL SPECTOR

dspector@baritzcolman.com Download Daniel's vCard

Daniel, as of January 2018, assumed the role of Senior Advisor to Baritz & Colman and will serve as Of Counsel to the firm.

Prior to his affiliation with Baritz & Colman, Daniel, following several years as a partner in private practice, enjoyed a decades-long career in the financial services industry at Merrill Lynch/Bank of America. As a member of the Office of General Counsel at Merrill/BofA, he functioned as an in-house corporate generalist under the title Assistant General Counsel and Senior Vice President. In his capacity as a Global Litigation and Risk Manager, Daniel consulted with the heads of various lines of business, and supervised the defense of litigation, with respect to a wide array of high profile, media sensitive commercial and other significant matters. He was responsible for building teams to represent the interests of Merrill/BofA in cases involving corporate law, real estate, estates and trusts, international disputes (including complex interpleaders), philanthropy, insurance, racial and gender discrimination, the Americans with Disabilities Act, Native American issues, high dollar vendor disputes, lending and sports marketing.

Daniel’s efforts at Merrill/BofA led directly to the resolution of the World Trade Center Respiratory Claims Litigation. His achievements at Merrill/BofA included navigating an interpleader impacting a foreign government and its former head of state through a host of domestic and international jurisdictions. The case was ruled upon by the U.S. Supreme Court whose decision regarding the Federal Rules of Civil Procedure is now part of the curriculum in a number of law schools. Daniel’s legal team successfully opposed the efforts by the City of New York to build television sound studios on the roof of a critical Merrill building. He also led a team of 12 paralegals and its managing attorney in connection with responding to all manner of third party process.

Daniel received his B.A. (with a major in History and a minor in Biology/Chemistry) from Queens College - the City University of New York. He received his J.D. from Syracuse University College of Law where he was awarded membership in the Justinian Honor Society and was requested to publish a Law Review article for the Cleveland-Marshall College of Law. He is admitted to practice in the State of New York and before the U.S. Supreme Court and the District Courts for the Southern and Eastern Districts of New York. He is a member of the Nassau County Bar Association.

THEODORE BLUMBERG

tblumberg@baritzcolman.com Download Theodore's vCard

An alumnus of the Temple University School of Law and the Bronx District Attorney's Office, Ted specializes in entertainment law and litigation, commercial litigation, employment law, and criminal defense.

Ted has successfully represented large corporations, banks, and attorneys, as well as producers, writers, actors, and directors.

The decision Ted obtained on behalf of Habib Bank in Sheihk v. Habib Bank Ltd. changed New York employment law by establishing that citizenship isn’t a “protected classification.” In a hard-fought wrongful termination litigation, Ted obtained summary judgment for the employer. Shabbir v. Pakistan Int’l Airlines, 2008 WL 938427 (E.D.N.Y. April 7, 2008).

Recently, he successfully defended the host of a popular reality show against allegations of sexual harassment. Victories for sexual harassment plaintiffs, on the other hand, include the favorable settlement of a claim against a well-known entertainment- industry company and the ouster of its president. His recent successful prosecution of a wrongful termination case led to a multimillion dollar settlement for the plaintiff.

In commercial litigation, Ted successfully defended New York landmark The Roosevelt Hotel in a range of disputes. His vigorous defense of lawyers in a breach of contract dispute in New York Supreme Court led to settlement for less than one percent of the $500,000 the plaintiff demanded.

In the area of criminal defense, Ted secured a client’s acquittal on all felony counts in a case involving crimes arising from the 911 tragedy, and the suppression of all evidence against a client charged with drug felonies. Ted has also helped clients avoid indictment in a number of state and federal matters.

His monograph, The Seven Deadly Sins of Legal Writing, which was inspired by legal writing seminars he taught with the late Herald Price Fahringer, his colleague and mentor, is used in law schools and law firms throughout the country. With his colleague Erica Dubno, Ted continues to lecture on legal writing, proudly continuing the work inspired by Mr. Fahringer.

In addition to his role as lawyer, Ted served as Executive Producer for client Theresa Rebeck's motion picture Trouble, starring Anjelica Houston, Bill Pullman, and Julia Stiles, and for client Stanley Tucci’s Final Portrait, starring Geoffrey Rush, Armie Hammer, and Tony Shalhoub.

ADAM LUSTHAUS

alusthaus@baritzcolman.com

Adam focuses his legal practice in the areas of estate planning, probate and trust administration, business formation, succession and transactional tax planning, representing individuals, closely-held entities and tax-exempt organizations. Adam enjoys working with clients to design and implement strategies that meet their specific planning objectives in the most efficient manner possible.

Adam graduated from Dartmouth College in 2003 and went on to receive his law degree from the Georgetown University Law Center in 2006, where he served as an editor of the American Criminal Law Review. After working at a large law firm in New York City for several years, Adam returned to school and earned his Masters of Legal Letters (LL.M) in Estate Planning from the University of Miami School of Law in 2010. Adam has worked for both large and mid-sized law firms in New York and Florida.

Adam is admitted to The Florida Bar and is a member of the Bar’s Real Property, Probate and Trust Law and Tax Law Sections. He is also admitted to practice in New York and before the U.S. Tax Court. Adam currently lives in Boca Raton, FL with his wife, Amy, and his three children.

Commercial Litigation

Baritz & Colman LLP, represents a broad base of clients in an extensive range of business and commercial disputes. Our clients include financial institutions, property owners, insurers, as well as small businesses and individuals, for whom we appear in both state and federal courts throughout Florida and New York.

Our approach to litigation is designed to be responsive to our clients' needs and goals. We work with our clients to develop and implement an effective and efficient litigation strategy - always with our clients’ goals and objectives at the forefront of our approach. We work vigorously to protect their rights and interests, in cases large and small, while helping them evaluate, manage and control the risks, costs and uncertainties associated with litigation. We assist our clients with all types of business and commercial litigation matters, including:

  • Contract disputes and enforcement
  • Business disputes, including those involving corporate officers and partners
  • Enforcement of non-compete agreements
  • Landlord-Tenant and real property disputes
  • Injunctions and TRO’s (temporary restraining orders)
  • Collections, including those involving notes and guarantees
  • Foreclosures of mortgages and security agreements
  • Business torts
  • Insurance defense

Employment Practice

Baritz & Colman has earned a reputation as a leading law firm representing financial services and other business clients as part of its comprehensive employment practice.

The firm’s recognized skills in this sector, exhibited through the diligence of, and results achieved by, our dedicated professionals, extends to a wide array of services we are positioned to perform creatively and efficiently. We are highly experienced in providing predominantly defensive representation in connection with an ever-expanding variety of employment disputes, including individual employee complaints, class actions, contract negotiations (e.g., non-compete agreements), whistleblower and raiding cases. We handle all manner of workplace situations involving allegations of racial, gender and religious discrimination and harassment, including litigation in state and federal courts and proceedings before the EEOC and state agencies. In addition, the firm is adept at preparing and revising policy manuals dealing with these and other areas of the employer-employee dynamic.

Our objective is to educate our clients - through white papers, lectures and other specially tailored interactive presentations - about best employment practices, litigation avoidance, litigation preparation and behavior, document preparation and preservation, and achieving the best benefit from lessons learned.

Real Estate

Baritz & Colman LLP provides clients with a broad spectrum of real estate services. We are able to facilitate a transaction from contract negotiation through closing and frequently guide clients through IRS §1031 exchanges. Our practice includes assisting clients with the purchase and sale of commercial and residential properties, development of property, acquisition financing and negotiation of commercial and residential leases. We represent both borrowers and lenders in commercial and construction financing transactions as well as non-real estate based secured transactions, including but not limited to multifamily, office, industrial, retail and warehouse projects.

In order to assist clients in successfully closing their real estate transactions, we also provide title insurance services and closing agent services. We have the ability to issue title insurance for both residential and commercial transactions.

In addition, we also provide comprehensive counseling and representation in the following areas:

  • Short sale, loan modification (work out agreements) and foreclosure
  • Homeowner associations

Regulatory Advice

As a logical companion to its Securities Practice, Baritz & Colman LLP has extensive experience representing and advising clients in connection with SEC, FINRA and state regulatory investigations and enforcement actions. Since the inception of the firm, we have represented brokerage and investment advisory firms, and their affiliated personnel, before state and federal regulatory bodies as well as before self-regulatory organizations, on a cost-effective and results oriented basis

We also advise our clients in connection with all phases of the regulatory investigative process, from inception of an investigation, to coordinating parallel investigations by multiple regulators, through and including a formal action, to the impact of an enforcement action on any parallel arbitration or litigation. Necessarily, we counsel our clients throughout the process, from how to respond to a regulatory inquiry to how to testify at an on-the-record examination or defend any resulting trial or enforcement proceeding.

Based on our experience in this area, we also provide our clients with up-to-date news regarding rule changes or regulatory pronouncements and are often called upon to present at industry, firm or client sponsored seminars on topics ranging from the impact of new rules and recent decisions of interest to defending a regulatory action.

Entertainment Law

Our services include negotiating and reviewing agreements for performers, writers, directors, and producers. Unlike many entertainment law practice groups, which tend to be solely transactional, we offer effective and aggressive representation for entertainment-related disputes, including contract and intellectual property litigation.

Trusts & Estates

Baritz & Colman LLP provides full service trust and estate services to our clients. We work to know our clients on a personal level, to help them identify their needs, and to guide them toward their planning goals. Every estate plan is individually tailored to a client’s family dynamic, assets, risk profile, charitable inclinations, and tax minimization concerns. For business owners and entrepreneurs, Baritz & Colman LLP offers an integrated approach to personal and business planning that identifies and solves business ownership succession issues, intellectual property matters, real estate concerns, and other estate related issues in a manner that is tax efficient and beneficial for the families and their businesses. We explain estate planning and tax matters in depth to our clients, advise clients on available strategies, prepare the appropriate documents, and ensure that our clients understand the meaning and the purpose of each document. Upon the death of a family member, we understand how confusing and overwhelming probate administration can be for loved ones. At Baritz & Colman LLP, we guide our clients through the probate administration process and alleviate the burdens of estate administration.

Our extensive trusts and estates practice focuses on the following areas:

  • Preparation of wills, durable powers of attorney, health care surrogate designations, living wills, and declarations of pre-need guardians
  • Trust preparation, trust modification, trust reformation and trust termination
  • Wealth preservation planning
  • Charitable gifting
  • Public and private charitable foundation formation and maintenance
  • Business succession planning
  • Life insurance planning
  • Estate tax return preparation and filing
  • Representation of fiduciaries and beneficiaries in probate and trust administration matters
  • Post-mortem tax planning
  • Estate administration
  • Trust administration

Corporate & Bankruptcy

Baritz & Colman LLP provides a multitude of corporate services to our clients. At the inception of a corporate matter, we provide guidance to the client on the type of entity to form based on the nature of the client’s business. Once the entity is chosen, our firm can prepare the initial corporate formation documents as well as negotiation and drafting of all types of business agreements such as shareholder, partnership and operating agreements. We also review, negotiate and draft the following:

  • Vendor contracts
  • Employment agreements
  • Buy/sell contracts (asset and stock purchases/sales)
  • License agreements
  • Manufacturing and distribution agreements
  • Letters of intent
  • Non-disclosure agreements
  • Non-compete agreements
  • Indemnification agreements
  • Escrow agreements
  • Franchise agreements and license agreements
  • Distributorship agreements
  • Joint venture agreements
  • Management agreements
  • Broker and listing agreements

The bankruptcy services we provide to clients include pre-bankruptcy counseling, representation of debtors and creditors in Chapter 7 and Chapter 11 proceedings as well as representing clients in adversary proceedings. We also provide our clients with asset preservation advice and creative solutions for avoiding bankruptcy if this is the client’s goal.

White Collar Criminal Defense

Baritz & Colman provides zealous advocacy and vigorous, experienced representation to those who have been, or are likely to be, charged with crimes. Whether representing a witness or defendant before a grand jury, negotiating a favorable plea agreement, or taking the case to trial, we have seasoned, highly-effective counsel to shepherd clients through every stage of the proceedings and obtain a favorable outcome.

Securities Litigation & Arbitration

Baritz & Colman LLP is nationally recognized for its practice in the area of securities litigation and regulation. We have represented clearing firms, brokerage firms and their associated persons before State and Federal courts and regulatory bodies throughout the United States for over twenty years and our clients include nationally and regionally recognized financial institutions.

The firm represents clearing firms, brokerage firms and their associated persons in securities arbitrations conducted under the auspices of the securities industry’s self - regulatory organizations, including defending claims for statutory violations, fraud, unsuitability, misrepresentations, and churning, among other claims, all in connection with the purchase and sale of securities. We also maintain excellent relationships within the securities industry and have achieved a high level of success on behalf of our clients utilizing alternative dispute resolution methodologies, including resolving claims through mediation.

In addition, we have extensive experience defending post-arbitration petitions to vacate arbitration awards. We have developed a substantial practice in the independent platform broker dealer space, and we represent firms and their associated persons in connection with formal and informal regulatory and law enforcement inquiries and disciplinary proceedings before the Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), state bureaus of securities, and state attorneys general.

We also assist our securities industry clients in the formation and registration of broker-dealers, the transfer and ownership of existing firms, and firm and individual licensing with the various state regulatory agencies and the FINRA.

In performing these services for our clients, we provide advice on industry protocols and agreements, internal policies and practices, and the development of compliance manuals and supervisory procedures which are designed to the specifications of the particular business to comply with industry laws, rules and regulations, and ultimately, to minimize the risk of customer disputes or regulatory inquiries.

Third Party Services

Baritz & Colman has developed a nationally recognized and sophisticated third-party practice in which we represent clients in connection with garnishment, lien and levy proceedings. We assist in matters ranging from the relatively simple, necessitating only a basic court filing, to the complex, involving multi-party federal and state court interpleader and related actions. We provide clients with advice and representation throughout the process, including, if necessary, the complete identification of subject assets and possible prior or competing claims, timely court filing and required follow up. We also assist our clients in coordinating required document identification, location and production, as well as representation at depositions, court or regulatory hearings, and trial.

Professoinal Liability

Baritz & Colman represents insurance agents and brokers, financial planners, accountants, architects, engineers, corporate directors and officers and other professionals in defending malpractice, errors and omissions and breach of fiduciary duty actions in the state and Federal courts. We are widely regarded for our results, client communications, flexibility and adherence to budget and strategy.

In defending our clients, we recognize that coordination between client and carrier is paramount to achieving an aggressive but cost-effective defense. Based on our extensive experience, we are acutely aware of the need for the implementation of competent case management, timely reporting and effective cost controls without compromising position or strategy.