Background
Neil Sussman has been actively involved in the practice of law since 1986. He is a co-founding partner of Sussman & Frankel, LLP, which was established in 2001. From 1995 to 2001, Mr. Sussman was in private practice. From 1989 to 1995, Mr. Sussman held various senior legal positions at Shearson Lehman Brothers Inc. and Smith Barney Inc., including Senior Vice President, Divisional Legal Officer and Vice President/Associate General Counsel. Prior to moving in-house, Mr. Sussman was an associate at Mound Cotton & Wollan LLP for three years.
Mr. Sussman was awarded the highest peer review rating of “AV Preeminent,” as determined through an objective and rigorous ratings review conducted by Martindale-Hubbell. The AV rating signifies that the lawyer possesses a preeminent ability in the areas of “Legal Knowledge, Analytical Capabilities, Judgment, Communication Ability and Legal Experience.” The AV rating also reflects that the lawyer meets the highest criteria in “General Ethical Standing.”
Areas Of Concentration
- Securities Arbitration
- Securities Industry Regulatory Investigations
- Commercial Litigation
- Employment Law in such areas as:
- Securities industry employment matters
- Contract negotiation
- Discrimination litigation
- Promissory note arbitration for both financial firms and investment professionals
- Dodd-Frank and Sarbanes-Oxley claims
- Employee Retirement Income Security Act (ERISA)
Experience
- Litigated in excess of 1,000 arbitrations, with awards rendered in approximately 75 arbitrations before FINRA, NASD, NYSE, and AAA
- Represented clients, including investment firms and professionals, in numerous regulatory proceedings before the NYSE, NASD, FINRA, CBOE, MSRB, and the SEC
- Represented parties in more than 50 mediations
- Litigated before both state and federal courts
Clientele
- Brokerage firms
- Investment banks
- Investment professionals
- Investors
- Hedge funds
- Institutional trading firms
- Senior level employees relating to employment issues
Bar Admissions
- New Jersey, December 1986
- New York, February 1987
- United States District Court for the Southern District of New York, Eastern District of New York and District of New Jersey
- Second Circuit Court of Appeals
Educational Background
- 1986 – Juris Doctor, Rutgers University School of Law: Camden, New Jersey
- 1983 – Bachelor of Arts, State University of New York at Albany: Albany, New York