Anthony Varbero was previously the Chair of Securities Litigation department at Joseph Mure Jr. & Associates for over eight years. Mr. Varbero’s group at Joseph Mure Jr. & Associates’ Securities Litigation and Regulation group focused on a vast array of securities matters in federal and state courts, national arbitration forums such as FINRA Dispute Resolution, American Association of Arbitration, as well as other arbitration and mediation forums. Mr. Varbero has a unique understanding of the business, stemming  from practicing in many areas, including civil fraud, breach of contract, and having a specialty in FINRA and securities arbitrations. Prior to entering the field of law, Mr. Varbero worked at every level of a broker-dealer industry – ownership, management, legal, compliance and sales.  Mr. Varbero held FINRA series 4, 7, 9, 10, 24, 27, 53, 55, 63, and 65 licenses. Mr. Varbero has successfully represented FINRA broker-dealers, financial institutions, private equity firms, registered representatives, officers, directors, customers, claimants, plaintiffs and employees, as well as public and private investors in financial and securities litigation matters.

Mr. Varbero has litigated matters nationwide involving: violations of  federal and state securities laws; white collar securities crimes; FINRA customer arbitrations  involving claims of churning, unauthorized trading, market manipulation, suitability, and negligent supervision;  FINRA industry arbitrations involving employment agreements, non-compete covenants, wrongful termination, and tortious interference claims; SEC inquires, investigations, and enforcements actions, federal cases filed in SDNY; and FINRA Department of Enforcement actions; United States District Courts, and The United States Court of Appeals for the Second Circuit, investigations, disciplinary matters and enforcement proceedings. In addition, our team provides day-to-day legal and business advice relating to compliance with SEC and FINRA rules. FINRA is the governing body that provides comprehensive oversight for broker-dealers and serves as the first line of defense for its Investors. The above-mentioned licenses gave Mr. Varbero the qualifications to; purchase and/or sell security products, manage registered representatives as it relates to rules and regulations within a broker dealer environment, supervise options sales personnel and compliance issues, prepare and manage the books and recordkeeping of a member firm, supervise the municipal securities activities of a securities firm or bank dealer, trade in stocks having knowledge of trading practices on the New York Stock Exchange & Over the Counter markets, and to act as an Investment Advisor. These credentials combined with an extensive understanding of the law have resulted in favorable ruling for his clients.