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Description: Three former in-house securities arbitration lawyers discuss all you need to know about initial case evaluation including:
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How to evaluate the initial Statement of Claim- reading between the lines of a Claim to find the real issues you’ll face at hearing.
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The nuances of contacting management, i.e. how to build a rapport and ask the right questions.
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Knowing how to get the right documents to prepare for the interview with the financial advisor.
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Learning how to best Interview the financial advisor- getting the real story about what happened sooner rather than later
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Understanding the factors that determine if you need outside counsel.
Joseph Calabrese is a Principal in the firm's Financial Institutions Practice Group.
With 15 years of Securities Litigation/Regulatory experience, Joseph is Wall Street veteran including the last 11 years as an Executive Director and senior member of the Wealth Management Client Litigation Group for Morgan Stanley. Prior to that, he served as an Associate General Counsel for five years at Citigroup.
Firmly positioned on the litigation front lines during the tech wreck, the credit crisis, and the tidal wave of regulation that followed, Joseph provides his clients with the actual real-world, battle-hardened, experience which is crucial to success. His unique ability to “see around corners” and anticipate an adversary’s moves is fashioned by years of experience.
Joseph’s approach begins by listening to his clients and appreciating their unique circumstances. Precisely understanding the best interests of his clients and balancing them with the facts of any case imparts the surest path to success.
Joseph spent the first 13 years of his career as prosecutor with the Kings County D.A.’s Office, the majority of that time Senior Assistant District Attorney in the Homicide Bureau. He is no stranger to the courtroom or any other adversarial setting.
While at Morgan Stanley, he headed the Early Dispute Resolution Team, a 30-member group consisting of attorneys, analysts and paralegals located in New York, Baltimore and Mumbai. These three groups were deeply rooted in the essential function of all pre-litigation resolution and regulatory reporting, including all third party subpoena litigation. He was instrumental in the integration of Morgan Stanley’s private and mortgage banking institutions into the wealth management pre-litigation process.
Joseph is an active FINRA arbitrator and an adjunct professor at St. John’s University Law School where he teaches trial advocacy.
Sean J. Coughlin forges success through collaboration. His practice focuses on representing financial institutions and their employees in FINRA arbitrations and before regulatory agencies. He tries multi-million dollar cases, and has appeared on behalf of clients in New York State Court, the CFTC, and in more than 100 arbitrations. For Sean, the key to being a skilled trial lawyer is getting to know his clients and understanding their needs.
Building rock solid relationships has always been critical to Sean’s practice. Before joining the firm, Sean was an Executive Director and Supervising Attorney at Morgan Stanley Smith Barney, where he valued the expertise of outside counsel for complex matters. Prior to that, he was a Managing Director and in-house counsel at Citigroup Global Markets Inc./Smith Barney, where he tried multi-million dollar arbitrations and managed outside counsel. With experience from so many angles of securities law, Sean navigates clients through the ever evolving world of securities litigation.
Sean lectures on topics relating to the financial services industry. He has addressed audiences at the American Conference Institute, students at Pace University’s New Directions Program, the American Bar Association’s Young Lawyers Division, and presented presentations to his clients on regulatory reporting requirements.
Angela Turiano represents brokerage firms and individual registered representatives in customer and employment arbitrations and litigation, as well as regulatory matters. Angela has worked as in-house counsel for two major securities firms, and thus understands, from an internal perspective, the highly specific needs of her clients. She is known as much for her commitment to achieving results as her composure and ability to remain calm - and to keep others calm - in even the most high stress situations.
Angela is a practiced trial lawyer who has appeared on behalf of corporate clients in New York federal and state courts and in arbitrations before various self-regulatory organizations. In addition to her extensive work in the securities arena, Angela has also represented individuals in both state and federal criminal prosecutions, from inception through trial. Prior to entering private practice, Angela served as an Assistant District Attorney in the Kings County District Attorney’s Office, where she prosecuted and successfully brought to trial multiple felony cases including Burglary, Narcotics Sale, Robbery and Kidnapping.
Angela is also a member of Bressler's Senior and Vulnerable Investor Group. The lawyers in this group have a shared interest in providing counsel to corporate clients who confront issues affecting seniors.
Highly respected throughout the financial services industry, Angela is an active speaker in the securities community, including speaking engagements at the New York State Bar Association, the American Conference Institute, the renowned NYU Stern School of Business, all of where she has lectured on the latest trends in securities litigation. At her clients’ requests, she has also served on panels at client firm roundtables and compliance conferences, as well as participated in mock arbitrations. Angela is also helps lead the Women Advocate Section of the ABA through her position as Chief Website Editor.
Angela partners with corporate clients to provide free legal advice at the Neighborhood Entrepreneur Law Project (NELP) small business legal clinic, as well as volunteers annually as a mock arbitrator/trial judge in various law school competitions. Angela also speaks annually at the Lincoln High School Career Day in Yonkers, NY.
 | | Practice Areas: | | Corporate & Securities | | | Online Media Type: | | Audio | | | Production Date: | | 09/23/2021 | | | Level: | | Intermediate | | | Category: | | Standard | | | Duration: | | 1 Hours, 1 Minutes | | | Online Format: | | On Demand | | | Course Type: | | Public |
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| | • | Joseph L. Calabrese - Bressler Amery & Ross | | • | Sean J. Coughlin - Bressler Amery & Ross | | • | Angela Turiano - Bressler Amery & Ross |
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