Focus Areas
- “Overview of Regulation Best Interest and Care Obligations,” Thompson Hine Broker-Dealer Update, October 2024
- “Why Does the SEC Whine so Much? The SEC’s Attack on Lawyers and a Way out of This Mess,” New York Law Journal, July 2023
- Co-author, “Selling Hemp Futures: The Sky May Be the Limit,” New York Law Journal, July 2022
- “Are We There Yet? The Latest Attempt at an Insider Trading Statute,” New York Law Journal, August 2020
- Co-author, “New Year, New Beginnings for Firm Risk Assessment Programs,” NSCP Currents, March 2020
- Co-author, “Why Does the SEC Hate Lawyers and Will the Bitterness Ever Go Away: A Review of the Reasons for the Current State of this Relationship and a Proposed Path Forward,” Brooklyn Journal of Corporate, Financial & Commercial Law, June 2019
- “Equity Markets & Order Handling Considerations,” National Society of Compliance Professionals, October 2023
- “Key Compliance Issues for Private Equity Advisers,” National Society of Compliance Professionals, October 2022
- “The Role of NFTs in the Metaverse: Arbitrating NFT Disputes,” American Arbitration Association, September 2022
- “Parallel Proceedings,” New York State Association of Criminal Defense Lawyers, June 2022
- “A Look at NYDFS Regulations – Two Years In,” Global Cyber Institute, April 2020
- “Ensuring Business Continuity During the Coronavirus Crisis,” National Society of Compliance Professionals, April 2020
- “The SEC’s Challenging New Guidance on the ‘Solely Incidental’ Broker Exemption,” National Society of Compliance Professionals, October 2019
- “Enterprise Risk Management,” National Society of Compliance Professionals, October 2017
- Included in The Best Lawyers in America® for Criminal Defense – White Collar in Morristown, NJ (2021-2024) and Commercial Litigation (2024)
- Selected to the New York Super Lawyers list for Securities Litigation, Business Litigation and White Collar Crimes, 2010-2024
Professional Associations
- American Bar Association
- New York County Lawyers Association
- New York State Bar Association
- Association of the Federal Bar of the State of New Jersey
- The Chartered Institute of Arbitrators
Professional Activities
- Fellow, Chartered Institute of Arbitrators
- Member, Section on Litigation and Section on Criminal Justice, American Bar Association
- New York County Lawyers Association:
- Member, Committee on the Federal Courts
- Former Treasurer
- Former Member, Board of Directors
- Former Chair, President’s Task Force on Corporate Governance
- Former Co-Chair, Committee on Securities and Exchanges
- Former Delegate, New York State Bar Association
- Former Co-Chair, Foreign Corrupt Practices Act Substantive Committee, Criminal Justice Section, American Bar Association
Education
- Duke University School of Law, J.D., 1992
- Boston University, M.A., 1989
- Boston University, B.A., 1989
Bar Admissions
- New York
- New Jersey
- District of Columbia
- Massachusetts
Court Admissions
- U.S. District Court for the Eastern District of New York
- U.S. District Court for the Northern District of New York
- U.S. District Court for the Southern District of New York
- U.S. District Court for the District of New Jersey
- U.S. District Court for the District of Columbia
- U.S. District Court for the District of Massachusetts
- U.S. Court of Appeals for the First Circuit
- U.S. Court of Appeals for the Second Circuit
- U.S. Court of Appeals for the Third Circuit
- U.S. Court of Appeals for the Ninth Circuit
- U.S. Court of Appeals for the District of Columbia Circuit
- U.S. Supreme Court
- Overview of Regulation Best Interest and Care Obligations,
Broker-Dealer Update
, October 31, 2024 - Leading Securities Lawyer Ernest Badway Joins Thompson Hine in New York,
Thompson Hine LLP
, August 5, 2024