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James A. Nofi
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Claimed Lawyer Profile
Practice Areas
- Business Law
- Business Contracts, Business Dissolution, Business Finance, Business Formation, Business Litigation, Franchising, Mergers & Acquisitions, Partnership & Shareholder Disputes
- Employment Law
- Employee Benefits, Employment Contracts, Employment Discrimination, ERISA, Overtime & Unpaid Wages, Sexual Harassment, Whistleblower, Wrongful Termination
- Securities Law
- Stockbroker & Investment Fraud
Jurisdictions Admitted to Practice
- Georgia
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- New York
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Professional Experience
- Partner
- Page Perry, LLC
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- Represented customers in securities arbitrations, brokers in employment disputes and arbitrations, and brokers, brokerage firms, and investment advisers in regulatory investigations and proceedings.
- Trial Counsel
- New York Stock Exchange, Inc.
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- Conducted securities industry investigations and prosecutions for Enforcement Division in the areas of sales practice (unauthorized, unsuitable, and excessive trading), financial/operational areas (net capital and customer protection), and trading matters (market maintenance, market manipulation, and other trading violations).
Education
- New York University School of Law
- J.D. | Law
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- Honors: Recipient of John L. Reback - Class of 1916 Scholarship, Moot Court Board -- Research Editor
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- New York University
- B.A. | History
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- Honors: Phi Beta Kappa, University Scholar, Joseph H. Park History Honor Society, Founders Day Award
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Professional Associations
- Atlanta Bar Association
- Member
- - Current
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- State Bar of Georgia
- Member
- - Current
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- Securities Industry and Financial Markets Association Compliance and Legal Division
- Member
- - Current
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- The New York City Bar Asociation
- Member
- - Current
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- American Bar Association
- Member
- - Current
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- New York State Bar # 1790567
- Member
- - Current
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Publications
Articles & Publications
- The Challenges of Hedge Fund Regulation After the Pequot Investigation and Goldstein v. SEC
- Practicing Law Institute - Securities Arbitration 2007
- The Enforcement Role of the New York Stock Exchange
- 85 Northwestern University Law Review 637
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