Office
11 Wharf Avenue
Suite 4
Red Bank, NJ 07701
Tel: 732.842.1662
Fax: 732.842.9047
Practice Group
Corporate and Securities
Concentration
Broker-Dealer/RIA
Securities and Corporate Finance
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Robert I. Rabinowitz. Partner – New Jersey Office, Securities and Corporate Group
rrabinowitz@becker-poliakoff.com
Professional Experience
Robert I. Rabinowitz joined Becker & Poliakoff in February 2009. For the past twenty two years, Robert has been the general counsel for a publicly traded, national, independent broker/dealer and registered investment advisor.
Robert’s duties included managing the brokerage firm’s regulatory compliance and corporate governance functions, and providing advice and guidance on federal, state and SRO compliance and regulatory issues, including general corporate matters and daily operations. His responsibilities included representing the firm in regulatory investigations, civil litigation and arbitration proceedings.
Robert's duties also included overseeing all corporate and S.E.C.-related matters, including the preparation and filing of all Securities Act reports; administration of annual shareholder meetings, and annual report and proxy filings; attending meetings and providing advice and counsel to the board of directors and committees of the board; directing all shareholder communications; administering the Company’s stock option plan; and developing and managing, corporate governance policies and procedures for the public company.
In addition, Robert maintained a private law practice with emphasis on broker/dealer and investment advisor formation, regulation and compliance; securities arbitration, litigation, meditation and regulatory matters; Securities Act and Exchange Act reporting and filings, disclosure and offerings; life health and annuity insurance practice; general corporate practice, including, corporate formation, governance and shareholder matters. He also specializes in commercial and residential real estate transactions.
Robert is a member of the FINRA Board of Arbitrators, and a member of the Supreme Court of New Jersey District IX Ethics Committee. Robert has held the following registrations and licenses:
- General Securities Representative
(FINRA Series 7)
- Registered Securities Principal
(FINRA Series 24)
- Registered Investment Advisor
(FINRA Series 65)
- Uniform State Law Agent Registration
- New Jersey Life and Health Insurance
Articles and Publications
Preparing for the inevitable:
Registration as an investment advisor: your clients will demand it; Congress may soon require it
Bar Admissions
States of New Jersey, Maryland and the District of Columbia;
United States District Court for the District of New Jersey and the U.S. Court of Appeals for the Federal Circuit
Education
Antioch School of Law, J.D., 1983
American University, B.A., 1979 |
