Richard L. Herzfeld

0Richard L. Herzfeld 
New York, New York

phone: (212) 818-9019
fax: (212) 986-5316


Richard L. Herzfeld is an experienced corporate attorney and litigator, in practice for over 25 years and providing legal services in both transactional matters and corporate/securities litigation. Mr. Herzfeld received his Juris Doctorate from the State University of New York at Buffalo in 1977, and received a Masters of Law in Taxation from New York University in 1984. He has been admitted to practice since 1978 and is admitted to practice in the United States Court of Appeals, Second Circuit, the United States District Court, Eastern and Southern Districts, the United States Tax Court and the courts of the State of New York. Mr. Herzfeld also serves from time to time as an NASD and NYSE arbitrator in securities arbitrations. In litigation, Mr. Herzfeld represents businesses and individuals in resolving their commercial and business disputes, at both the trial and appellate levels. His background includes a legal clerkship in the New York Supreme Court, Appellate Division, Second Department, and he coauthored the shareholders’ brief in a leading New York Court of Appeals case on minority shareholder rights, Matter of Kemp & Beatley, Inc., 64 N.Y.2d 63.

Mr. Herzfeld represents both plaintiffs and defendants in their business and commercial disputes, including matters such as breach of contract, employment disputes, trade secrets, intellectual property, covenants not to compete and shareholder rights.

In addition to his work in general corporate litigation, Mr. Herzfeld is an active securities lawyer, representing both customers and brokerage firms in securities litigation and arbitration for claims such as securities fraud, churning, unsuitability of investments and breach of fiduciary responsibility.

Mr. Herzfeld also represents broker dealers in connection with their securities operations, including broker to broker and customer litigation and SEC, NYSE, NASD and AMEX compliance and regulatory matters.

For transactional matters, Mr. Herzfeld also provides a full range of services for his clients. He is actively involved in counseling clients in connection with the purchase or sale of businesses and in the formation of corporations, partnerships and limited liability companies.

In connection with his representation of broker dealers and investment advisors, he represents clients in establishing and registering broker dealers, preparing and implementing private placement offerings and SEC, NYSE, NASD and AMEX compliance and regulatory matters.

Mr. Herzfeld represents individuals, corporations, partnerships and LLC’s in the day-to-day operation of their businesses, including the preparation of shareholders’ agreements, operating agreements, buy-sell agreements and employment agreements.

He also provides services in the drafting and negotiation of contracts, represents clients in trademark and other intellectual property issues, including the drafting and negotiation of licensing agreements, and in real estate matters, including the acquisition and sale of commercial and residential real estate and the preparation and review of commercial leases.

In addition to the above, Mr. Herzfeld also provides counsel to individual clients in the areas of estate planning and residential real estate matters.