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Dimitri Nemirovsky’s practice focuses on representing financial services firms, registered representatives, management, compliance officers and others in connection with regulatory investigations and enforcement proceedings brought by the SEC, FINRA, CFTC and other Federal and state regulators. He specializes in conducting internal investigations and advising clients on a broad range of compliance and examination issues relating to sales practice, securities fraud and rule violations.
Mr. Nemirovsky is regularly called upon to represent firms and individuals in multi-million dollar arbitrations and litigations, and has extensive experience with both investment and employment disputes. He also advises and represents clients regarding regulatory reporting obligations, including self-reporting (FINRA Rule 4530) and Form U4 and U5 employment and expungement matters. Mr. Nemirovsky is an AV Preeminent-rated attorney by Martindale-Hubbell and a 2014 Super Lawyer.
Prior to co-founding Reyhani Nemirovsky LLP, Mr. Nemirovsky was part of the broker-dealer practice group at a national law firm where he represented prominent Wall Street firms and individuals in high-stakes regulatory investigations, arbitrations and litigations involving damages claims ranging into the hundreds of millions of dollars. Mr. Nemirovsky advised and successfully represented clients in high-profile and complex matters relating to auction rate securities, structured products, hedge funds, debt underwriting, CDOs, derivatives, swaps, commodities, equity research and market timing.
Mr. Nemirovsky was formerly Vice President and Counsel at Merrill Lynch, Pierce, Fenner & Smith Incorporated, where he coordinated globally the defense of all research analyst fraud claims and successfully defended the firm and its employees in numerous private client arbitrations.
Mr. Nemirovsky received BBA and MBA degrees, with honors, from Baruch College. He received his JD from Brooklyn Law School in 2000, where he served as a member of moot court and was awarded overall champion in a national competition.
Mr. Nemirovsky regularly authors articles on wide-ranging issues relevant to the securities industry, including FINRA Investigations – To Joint Rep Or Not To Joint Rep, Will New Court Ruling Give Troubled Advisors Clean Slate?, How FINRA Rule 2111 Affects Fee-Based Accounts, and FINRA’s New Know Your Customer And Suitability Rules.
Admitted to practice in New York
U.S. District Court, Eastern District of New York
U.S. District Court, Southern District of New York