J. Christopher AlbaneseCounsel

Ryan Whalen

Christopher’s practice focuses on securities litigation, regulatory matters, enforcement actions, broker-dealer compliance, and FINRA matters. Christopher also has significant experience in corporate practice, including public and private placements of equity and debt securities, as well as, commodities and futures.

The majority of Christopher’s clients are financial institutions and SEC, FINRA and Exchange member firms, ranging from large trading firms to small broker-dealers. Christopher spent almost a decade as in-house counsel, first with Prudential Securities’ legal department in their Commodities and Futures Unit supporting the business department in day-to-day activities, as well as, litigation, regulatory, exchange membership and negotiating ISDA/SWAPS agreements, and then as General Counsel to a full service broker-dealer and investment advisor headquartered in New York with both retail and institutional clientele. As General Counsel, Christopher supervised all litigation, directed capital raises for public and private entities, oversaw compliance, directed SEC and FINRA examinations, as well as internal audits, and developed the expansion of business lines and written supervisory procedures, including creation of the investment advisor and its registrations.

During his time at Prudential, Christopher was also an adjunct professor at Baruch College teaching Securities and Corporate Law for their paralegal program.

Christopher received his law degree from Brooklyn Law School and his undergraduate degree from Brooklyn College. He is admitted to practice in the State of New York and before the United States District Courts for the Southern District of New York and the Eastern District of New York. Christopher is a member of the New York Bar.

Contact

  • Tel (212) 269-1400
  • Fax (212) 809-4147
  • Email calbanese@gusraekaplan.com | Vcard