Ronald Amato is an associate attorney in the securities practice group.  He has extensive experience representing investors, registered representatives, investment advisers, and securities broker-dealers in securities arbitration and litigation matters involving investment-related and securities disputes.  He frequently arbitrates and mediates through FINRA's (Financial Industry Regulatory Authority) Dispute Resolution program, as well as arbitrates and litigates in other forums, including JAMS and AAA, as well as in state and federal courts. 

He represents investors in matters involving unsuitable investments, violations of state and federal securities laws, breach of fiduciary duty, and negligence.   He assisted in obtaining a groundbreaking arbitration award against a national broker-dealer for its failure to properly advise a client regarding hedging a concentrated stock position obtained through the exercise of employee stock options.  He also assisted with obtaining one of the first arbitration awards against a major online brokerage firm for its mishandling of a customer order and other sales practices violations.

Ron frequently counsels financial services professionals, as well as securities broker-dealers and investment advisers, in the negotiation and/or litigation of employment, regulatory and disciplinary matters, including post-employment, non-solicitation and confidentiality agreements, promissory notes, defamatory Form U-5 filings, and claims for compensation and benefits. In October 2009, as part of the securities team, he successfully defended an investment adviser and an accountant against claims that an investor had brought for unsuitable investments and conflicts of interest.

Ron has been quoted in financial publications such as Registered Rep and Financial Advisor regarding broker-dealer and securities law issues, and his comments have appeared in The Wall Street Journal Online's Brokers World and Practice Management columns.

Prior to attending law school, Ron was a registered representative and assistant branch office manager with a national broker-dealer and New York Stock Exchange member firm where he held various securities licenses, including Series 7 and Series 63 with FINRA (formerly NASD).