Corporate and Securities
Banking and Finance
EDUCATIONHunter College of the City of New York, B.S.
Brooklyn Law School, J.D., cum laude
- 1968, New York
- U.S. District Court, Southern District of New York
- U.S. District Court, Eastern District of New York
- U.S. Court of Appeals, 2nd Circuit
- U.S. Court of Appeals, 3rd Circuit
Eighteen Warshaw Burstein Lawyers Named Super Lawyers for 202309/22/2023
Eighteen Warshaw Burstein lawyers have been named 2023 Super Lawyers in their respective practice areas in the New York Metro area.
Care Obligations of Broker-Dealers and Investment Advisers08/23/2023
Earlier this year, the SEC staff issued a bulletin setting forth standards of conduct for broker-dealers and investment advisers with respect to their respective care obligations when providing investment advice and recommendations to retail investors (the “Bulletin”).
Warshaw Burstein Represents Nexalin in International Joint Venture06/07/2023
Corporate partners Martin Siegel, Steve Semian, and Jason Diener represented Nexalin Technology, Inc. in the creation of a formalized joint venture arrangement with Wider Come Limited.
SEC Announces 2023 Examination Priorities03/29/2023
On February 7, 2023, the SEC’s Division of Examinations announced its examination priorities for 2023. Examination priorities are released annually and provide investors and registrants with transparency into those areas that DOE believes bring heightened risks to investors, registrants and to the integrity of the U.S. capital markets.
Eighteen Warshaw Burstein Lawyers Named Super Lawyers for 202209/29/2022
Eighteen Warshaw Burstein lawyers were named 2022 Super Lawyers in their respective practice areas in the New York Metro area.
Warshaw Burstein Partners Martin Siegel and Brian Daughney Advise Houston-based Nexalin Technology on $9.6 Million IPO09/23/2022
Corporate partners Martin Siegel and Brian Daughney represented Nexalin Technology, Inc. as securities and general corporate counsel with respect to Nexilin’s initial public offering of 2,315,000 units which closed on September 20, 2022.
SEC Issues Guidance for Resolving Securities Disputes with Broker-Dealers06/27/2022
The SEC’s Office of Investor Education and Advocacy (“OIEA”) recently published an investor bulletin to educate investors on the legal remedies available for resolving disputes with broker-dealers under the Financial Industry Regulatory Authority (“FINRA”).
WHAT’S IN A NAME? SEC Announces Rule Proposal to Address Fund Names06/23/2022
On May 25, 2022, the U.S. Securities and Exchange Commission (“SEC”) released proposed amendments to Rule 35d-1 (the “Names Rule”), under the Investment Company Act of 1940. The SEC believes that the amendments would enhance transparency in the asset management market and ensure that a fund’s name does not misrepresent the fund’s investments and risks.
Fifteen Warshaw Burstein Lawyers Ranked as 2021 Super Lawyers10/05/2021 | Super LawyersFifteen Warshaw Burstein lawyers were ranked as 2021 Super Lawyers in their respective practice areas in the New York Metro area, including three lawyers who were ranked on the Rising Stars list.
Client Alert: SEC Broadens Accredited Investor Definition Expanding Access to Capital Markets09/09/2020
On August 26, 2020, the Securities and Exchange Commission (SEC) adopted amendments to the “accredited investor” definition in Rule 501(a) of Regulation D under the Securities Act of 1933, as amended, that update and improve the accredited investor definition. The purpose of the amendments is to better identify investors that have sufficient knowledge and expertise to participate in investment opportunities that do not have the rigorous disclosure and procedural requirements and related investor protections, provided by registration under the Securities Act. The amendments are substantially as proposed by the SEC on December 18, 2019.
Martin Siegel and Ally Hack Co-Author Law360 Article on Executing NY Contracts While Working From Home6/4/2020 | Law360
Partners Martin Siegel and Ally Hack co-authored a Law360 article on executing NY contracts while working from home. In the article, Martin and Ally explore how lawyers can satisfy the New York Statute of Frauds remotely using technology to help facilitate deals and make contractual commitments such as by using mobile phones and videoconferencing tools, including Zoom, BlueJeans or Skype For Business