Sadis & Goldberg Appear in May 9th issue of Forbes Magazine

Small Firm With a Wealth of Ideas As Seen In… Forbes, May 9, 2011


Sadis & Goldberg LLP

“We are one of the industry’s innovators, moving quickly to detect trends and solve problems before

our clients are affected. We work seamlessly and efficiently, in partnership with our clients.”

— Ron S. Geffner, Financial Services

In the year since we last visited with Sadis & Goldberg, the firm’s national recognition and client

roster have continued to grow. Today, Sadis & Goldberg is the law firm of choice for hundreds of

investment advisers as well as hedge funds, private equity funds, venture capital funds,

broker-dealers and other re- lated entities. In addition to regulatory and compliance guidance, the

firm provides representation in connection with regulatory enforcement proceedings involving the

Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission, the Financial

Industry Regulatory Authority (FINRA), the Chicago Board Options Exchange and the Department of



In light of the changing legal environment and the govern- ment’s enhanced focus on financial

regulation, Sadis & Goldberg continues to grow its Regulatory and Compliance Group as well as its

Litigation Group. The firm’s attorneys are well versed in a variety of regulatory matters, with the

Litigation and Compliance groups routinely collaborating on clients’ behalf. The firm also provides

a full range of services relating to corporate transac- tions, tax, estate planning and real estate


Keeping Up-to-Date on Regulatory Issues

This past year also saw the addition of several attorneys to Sadis & Goldberg’s Regulatory and

Compliance Group. It was a strategic expansion stemming from recent regulatory failures within the

financial services industry, the passage of the Dodd- Frank Wall Street Reform and Consumer

Protection Act, and subsequent regulatory inquiries. The group’s thorough under- standing of the

regulatory environment has proven vital in the increasingly competitive and more closely

scrutinized financial services industry.

Sadis & Goldberg attorneys, who are former SEC staff members and major law firm veterans, stay

abreast of the changing regulatory issues to provide sophisticated solutions. They counsel

registered investment advisers, broker-dealers, commodity pool operators, commodity trading

advisers and oth- ers. Representing over 150 broker-dealers, the firm’s attorneys provide

comprehensive services addressing a broad spectrum of issues involving broker-dealer regulation and

securities trading. The group has substantial experience in regulatory issues includ- ing the

regulation of national securities exchanges. Additionally, the group evaluates clients’ potential

compliance risks and de- vises strategies to mitigate consequences.

“We not only look at a client’s problem from a legal perspec- tive, but also from a business

perspective. We have extensive experience in the alternative investment space, and we use that

experience to give clients both a legal analysis and a business analysis. We bring this skill set

to the table because we have many years’ experience in our field.”

— Douglas Hirsch, Litigation and SEC & FINRA Enforcement

Experienced Litigators on the Front Line

With a particular concentration in securities law issues, Sadis & Goldberg’s Litigation Group

represents clients prosecut- ing or defending claims under both federal and state laws and has

successfully tried numerous cases to verdict. The firm’s at- torneys also represent clients in

connection with:

•    Hedge Fund Litigation

•    SEC Enforcement Litigation

•    General Securities Litigation

•    FINRA matters and AAA arbitration

•     Partnership or limited liability company disputes and dissolution proceedings

•     Employment disputes

•     Intellectual property disputes and collection proceed- ings involving secured instruments

Having represented several hundred investment funds over the years, Sadis & Goldberg has developed

an industry-leading shareholder activism practice that regularly counsels clients on legal issues

ranging from corporate governance principles and fiduciary duty law to derivative actions, M&A

litigation and ap- praisal rights proceedings.


551 Fifth Avenue, 21st Floor New York, NY 10176



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Cheryl Spratt