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Service Insurance

Location:
7960, United States
Posted:
March 21, 2011

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Eric J. Szoke

** ********* ***** *********: (973) ***-****

Morristown, New Jersey 07960 E-mail: abg0gt@r.postjobfree.com

Securities and COMPLIANCE attorney

An accomplished Securities and Compliance Attorney with expertise in

securities laws, contract negotiation, drafting and review, compliance

review, and securities litigation. Skilled in researching securities laws,

rules, and regulations. Skilled in performing both regulatory and

operational compliance reviews, as well as in providing training to

personnel as to compliance issues and procedures. Recognized for sound

judgment, practical problem-solving skills, and ability to analyze and

resolve complex legal issues. Expertise includes:

. Securities Law - Securities Litigation - Corporate Governance Litigation

and Counseling - Compliance Review and Training - Contract Drafting and

Negotiation - Bankruptcy Law

EDUCATION

J.D., Cornell Law School, Ithaca, NY, 1994

Juris Doctorate with Concentration in Business Law, Specialization in

International Legal Affairs

B.A., with Honors, University of Arizona, Tucson, AZ, 1991

Degree in Political Science . Top 10% of Class

CAREER HISTORY and SELECT ACHIEVEMENTS

LAW OFFICES OF STEVEN R. LEHR, P.C., West Caldwell, NJ

May 2009-present

Attorney

Associate Attorney for this full-service law firm, responsible for managing

a diverse portfolio of clients in complex commercial matters. Responsible

for managing all facets of cases, including discovery, motion practice, and

trial and appellate work, before state and federal courts throughout New

Jersey and New York.

. Representing a private equity fund in relation to Regulation D and

Regulation S issues.

. Representing a shareholder in a closely-held corporation in an alleged

"freeze-out" by majority shareholder.

. Negotiation and drafting of contracts for corporate clients.

Merrill Lynch, Pierce, Fenner & Smith, Inc., Hopewell, NJ January 2007

- May 2009

Vice-President

Member of an executive team that provided advisory services with respect to

Rule 10b5-1 plans for global clients. Responsible for complex contract

negotiations with clients, counsel and company representatives.

Coordinated between multiple departments to ensure contracts satisfied all

compliance policies, securities laws, and regulations. Conducted

compliance reviews for department operations and trained firm employees on

compliance procedures.

. Negotiated and drafted over 960 securities trading contracts, valued at

$3.3B+, for the sale or purchase of all manner of equity securities.

. Extensive experience performing both regulatory and operational

compliance review of both department and advisor operations and Rule 10b5-

1 products.

. Expertise in the Securities Act of 1933, the Securities Act of 1934, the

Investment Advisers Act of 1940, and the Investment Company Act of 1940,

as well as S.E.C. and FINRA rules and regulations.

Williams, Caliri, Miller & Otley, P.C., Wayne, NJ March 2003 - December

2006

Attorney

Lead Litigation Attorney for this full-service law firm, responsible for

managing a diverse portfolio of clients in complex commercial litigation

matters. Responsible for managing all facets of cases, including

discovery, motion practice, and trial and appellate work, before state and

federal courts throughout New Jersey and New York.

. Successfully defended a major financial services firm in litigation

alleging claims of breach of fiduciary duty and negligence, obtaining a

dismissal prior to trial.

. Successfully defended principal of a securities brokerage firm in

litigation alleging multiple violations of state and Federal securities

laws, obtaining a dismissal at trial.

Eric J. Szoke Page Two

. Successfully defended regional real estate investment company in

bankruptcy court adversary proceeding litigation alleging claims of

fraud, negligence and breach of contract.

. Provided compliance training to client officers and employees regarding

state and Federal employment laws and regulations, and drafted numerous

client employment policies and procedures manuals.

Nagel, Rice, Dreifuss & Mazie, Livingston, NJ February 2000 - March

2003

Attorney

Associate Litigation Attorney representing clients throughout New Jersey,

New York and Pennsylvania, as well as several nationwide class-actions, for

this renowned litigation firm. Performed extensive legal research and

writing, conducted depositions and other discovery, handled motion practice

and pretrial matters, and participated in trials.

. Successfully represented the New Jersey Department of Banking and

Insurance as plaintiff in multi-party litigation involving claims of

accounting and actuarial malpractice, resulting in a favorable settlement

for client prior to trial.

. Successfully represented the New Jersey Department of Banking and

Insurance in numerous insurance company liquidation proceedings wherein

millions of dollars in claims were recovered and paid out to creditors in

court-supervised liquidation proceedings.

. Successfully represented former officer of a software company in

litigation against company alleging breach of contract and breach of

fiduciary duty, obtaining favorable settlement prior to trial.

Schiffman, Berger, Abraham, Kaufman & Ritter, Hackensack, NJ January 1999

- January 2000

Attorney

Associate Litigation Attorney for this full-service law firm representing

clients throughout New Jersey and New York. Responsible for legal research

and writing, discovery, motion practice, and court appearances on behalf of

firm clients.

. Successfully defended a construction company in multi-million dollar

construction litigation. Successfully settled case in multi-party, court-

ordered mediation proceedings.

. Represented fashion industry vendor in complex commercial arbitration

involving claims of breach of contract; matter still pending when new

employment commenced.

Monica & Szoke, Far Hills, NJ January 1995 - August 1998

Partner

Partner, Co-Founder, and Lead Litigation Attorney for this full-service law

firm, responsible for managing a diverse portfolio of clients in complex

commercial litigation matters. Responsible for managing all facets of

cases, including discovery, motion practice, and trial and appellate work,

before state and federal courts throughout New Jersey and Pennsylvania.

. Successfully represented a franchisee in a multi-million dollar antitrust

and civil RICO case. Successfully settled case on the eve of trial on

very favorable terms for client.

. Successfully represented the anchor tenant of a large retail complex in a

lease dispute with the new property owner. Negotiated settlement with the

owner that resulted in the formation of a new lease agreement on

favorable terms to the client.

. Successfully represented large MBE architecture and engineering firm

against a public entity. Settled claims of racial discrimination and

breach of contract arising from bidding disputes on a public building

project on favorable terms to the client.

BAR ADMISSIONS

New York State Bar . New Jersey State Bar . Pennsylvania State Bar

U.S. District Court for the District of New Jersey

U.S. District Court for the Eastern District of Pennsylvania

U.S. District Court of Appeals for the Third Circuit



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