James A. Nofi

New York University School of Law

J.D. | Law

1978 - 1981

Honors: Recipient of John L. Reback - Class of 1916 Scholarship, Moot Court Board -- Research Editor

New York University

B.A. | History

1974 - 1978

Honors: Phi Beta Kappa, University Scholar, Joseph H. Park History Honor Society, Founders Day Award

Partner

Page Perry, LLC

2004 - 2008

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.

1989 - 2001

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).

The Challenges of Hedge Fund Regulation After the Pequot Investigation and Goldstein v. SEC

Practicing Law Institute - Securities Arbitration 2007

August, 2007

The Enforcement Role of the New York Stock Exchange

85 Northwestern University Law Review 637

1991

Atlanta Bar Association

Member

2007 - Current

State Bar of Georgia

Member

2004 - Current

Securities Industry and Financial Markets Association Compliance and Legal Division

Member

2001 - Current

The New York City Bar Asociation

Member

1984 - Current

American Bar Association

Member

1983 - Current

New York State Bar  # 1790567

Member

1982 - Current

Georgia

Since 2004

New York

Since 1982