Legal Services & Lawyers

With 25 years of experience, I represent financial professionals and firms in all aspects of their operation, compliance and litigation matters, nationwide. I also represent individual brokers from virtually every major firm in their contract negotiations, employment termination, U-4 and U-5 issues. In specialized situations where the facts or law present novel issues, I also represent investors.

Locally, I represent small and medium sized businesses in their formation, operation and litigation, using my Wall Street background to assist those business entities.

I am a corporate transactions and securities law attorney licensed to practice in New York and Minnesota. A former big-firm attorney with more than five years of experience, I recently began my solo practice in Manhattan.

Sedmak Law LLC serves small to medium-sized businesses and their owners in a wide variety of transactions, including entity formation, mergers & acquisitions, dissolution, business succession, shareholder and investor matters, corporate governance, employee & independent contractor agreements, vendor & supplier agreements, leases for commercial space, and SEC & FINRA compliance.

I began my career in Minneapolis, and moved to New York in April, 2007. In October, 2007, after taking the bar exam, I began working at the midtown Manhattan office of Thompson Hine. Thompson Hine is a 400-attorney firm that focuses its New York corporate practice on securities law and mergers & acquisitions.

My goal is to become a trusted adviser and "first point of contact" to my clients for all their legal issues. I have worked with businesses of all shapes and sizes - from sole proprietors and single-member LLCs to publicly-traded multi-billion dollar corporations. I look forward to helping you with your business needs!

Mauro M. Wolfe joined Dickstein Shapiro as a partner in the Securities—Litigation, Regulatory, & Compliance—Practice in 2006, after a nine-year career in government. He counsels and defends corporations, financial institutions, and individuals in the areas of securities regulation, securities enforcement, and white-collar crime. He also conducts internal investigations related to these areas and, more recently, information security management, data breach incidents, and art law matters.

David S. Rich is the founding member of the Law Offices of David S. Rich, LLC. Mr. Rich litigates civil, commercial, employment, and securities matters in federal and state courts in New York and New Jersey, and arbitrates such matters before FINRA and other arbitral bodies. Mr. Rich also litigates appeals.

Mr. Rich has represented clients in, among other civil and commercial matters, breach of contract actions, business torts cases, bankruptcy and adversary proceedings, civil racketeering actions, oppressed minority shareholder disputes, product liability litigation, franchisor-franchisee litigation, qui tam actions, divorce actions and post-divorce judgment proceedings.

Mr. Rich has represented clients in, among other among other labor, employment, and employee benefits matters, breach of employment contract actions, employment discrimination cases, retaliatory discharge actions, sexual harassment cases, actions for breach of non-competition or non-solicitation agreements, ERISA actions to recover pension or health benefits, and employee benefit funds' actions to recover withdrawal liability payments and delinquent ERISA contributions.

Mr. Rich has represented clients in, among other securities matters, securities fraud cases, breach of fiduciary duty actions, actions for breach of investment management contracts, and arbitration proceedings to recover unpaid bonuses.

Before founding Law Offices of David S. Rich, LLC, Mr. Rich was a partner of a boutique litigation firm in New York City. Mr. Rich has also served as an associate of two prominent, mid-sized law firms in New York City and New Jersey, respectively. Mr. Rich has litigated many noteworthy cases, such as JLM Chems., Inc. v. Summit Resource Group, Inc., No. 08-CV-10296, 2009 WL 1108662 (S.D.N.Y. Apr. 24, 2009); Barron Partners, LP v. Lab123, Inc., No. 07-CV-11135, 2009 WL 129043 (S.D.N.Y. Jan. 20, 2009); Barron Partners, LP v. Lab123, Inc., No. 07-CV-11135, 2008 WL 2902187 (S.D.N.Y. July 25, 2008); Pastore v. Witco Corporation Severance Plan, 196 Fed.Appx. 18, 2006 WL 2335161 (2d Cir. 2006); and Donohue v. Teamsters Local 282 Welfare, Pension, Annuity, Job Training & Vacation & Sick Leave Trust Funds, 12 F. Supp.2d 273 (E.D.N.Y. 1998).

Mr. Rich earned his Juris Doctor Degree from the Columbia University School of Law. He earned his Bachelor of Arts Degree with Honors in English from the University of Pennsylvania, where he was a Benjamin Franklin Scholar. Mr. Rich is admitted to practice in New York, New Jersey, and the District of Columbia, and in the U.S. District Courts for the Southern and Eastern Districts of New York and for the District of New Jersey. He is a member of the New York City Bar Association.

I am a senior corporate/securities lawyer with broad experience in corporate finance, mergers and acquisitions and private equity/venture capital, for the most part involving U.S. and foreign small-cap public companies and middle-market private companies. I focus particularly on representing small-cap public companies in a wide range of industries (most notably petroleum, electronics/technology, transportation, and apparel/retail) in IPOs and other equity and debt financings, SEC reporting, NYSE and Nasdaq listings, corporate governance, and negotiating strategic transactions.

I serve on the Corporate Law Committee of the New York City Bar Association. I am also a member of the New York Chapters of the Society of Corporate Secretaries and Governance Professionals and the National Investor Relations Institute, the American Bar Association's Committees on Federal Regulation of Securities and International Law and the Colombian American Association.

In addition, I serve on the Board and as Vice President, Membership of the National Society of Hispanic MBAs in New York, and represent entrepreneurs seeking to launch new businesses, through the New York City Bar Association's Neighborhood Entrepreneur Law Project and other New York City pro bono organizations.