Richard Freeth, Esq.

Personal Introduction

New York and Connecticut admitted attorney with experience in litigation, arbitration, corporate and financial transactions, intellectual property and securities law. Over 20 years of diverse professional experience. In private practice I primarily focus on financial services and securities, insurance, intellectual property, crypto, general business and entertainment law. My past clients ranged from Fortune 500 companies to small businesses, securities firms (broker dealers, investment advisers, crypto-funds. hedge funds, high frequency/low latency trading firms), insurance companies, municipalities, securities professionals, insurance professionals, corporate executives, accountants and lawyers, songwriters, screenwriters and entertainers. Some examples: - Advised an independent FINRA registered broker-dealer on essentially all legal matters, and worked with the firm's president, and its' chief compliance officer, on a day-to-day basis. In addition to representing the firm on numerous legal matters, including customer disputes and corporate structure, I assisted in responding to regulatory inquiries and gave registered representatives of the firm presentations on topics of interest, such as the evolving legal landscape on suitability. - Advised an offshore crypto hedge fund on US legal matters.on a day-to-day basis. - Successfully defended an investment advisory firm in a multi-million dollar Federal Civil RICO lawsuit. -Successfully negotiated the settlement of a $14 million dollar copyright infringement claim involving music used in the soundtrack of a major film. I am experienced in representing clients in: - Federal Court (admitted to several District Courts, 2d Circuit Court of Appeals and the US Supreme Court) - State Courts - FINRA arbitrations - AAA arbitrations - SEC investigations and hearings - FINRA investigations and hearings - State Banking Department or Securities Department Enforcement actions I have extensive experience in disputes involving securities, investments and financial transactions. I also have advised clients on legal matters involving insurance coverage, litigation avoidance, first amendment retaliation and employment discrimination, executive contracts, NDAs and non-competition clauses, media and entertainment related contracts and intellectual property licensing agreements.