Christopher Albanese, Esquire is an experienced securities attorney, and has practicing in the securities industry for almost two decades. Mr. Albanese handles complex business litigation in state and federal courts nationwide and matters before alternative dispute resolution forums (FINRA, AAA, JAMS, etc.) as well as mediations. Cases include broker-dealer litigation, sophisticated commercial disputes, financial services litigation, regulatory matters and white-collar defense.
He has advised public and private corporations, broker-dealers, investment advisers, hedge funds, trading firms, and investment banks on complex regulatory and compliance issues as well as day to day operations. Advised clients on compliance matters and procedures; corporate compliance and internal investigations for publicly-held and private companies in the United States and abroad. He has 20 years’ experience working with Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, as well as FINRA and NYSE rules and regulations. He also negotiated and drafted contracts and employment agreements for corporate clientele and advise on corporate governance.
After law school Mr. Albanese initially joined a private firm that specializes in securities litigation, arbitrations, regulatory investigations, enforcement actions, and broker-dealer compliance. Mr. Albanese then joined Prudential Securities legal department in their Commodities and Futures unit supporting the business department in litigation, regulatory matters, exchange membership and negotiating ISDA/SWAPS agreements.
During his time at Prudential, Mr. Albanese was also an adjunct professor at Baruch College teaching Securities and Corporate Law for their paralegal program.
Mr. Albanese left Prudential to become General Counsel to a full-service broker-dealer, insurance company and investment advisor headquartered in New York with both retail and institutional clientele. As General Counsel he handled all legal issues that arose for the companies including litigation, coordination of outside counsel, negotiation and/or drafting of all contracts and agreements. He also managed the legal and compliance departments, compliance officers, branch managers and support staff; supervised the development of all firm policy, annual and periodic compliance meetings, branch audits, AML policy, and BCP. On the personnel side, he oversaw all aspects of day-to-day operations including M&A, operational procedures, hiring and terminations, managerial policy, HR, and general functions of the firm.
Mr. Albanese is also experienced in Investment Advisor, investment banking and research, proprietary trading, variable annuities and insurance products, as well as, State, Federal, Exchange and self-regulatory agencies; investigations and inquiries from regulatory agencies including SEC, NYSE, FINRA and all state agencies.
Mr. Albanese’s practice focuses on securities litigation, employment matters, regulatory enforcement matters, and broker-dealer compliance.
