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Bob E. Lehman, Partner

New York City (NYC) Corporate Law Attorney Bob E. Lehman, Partner

New York City (NYC) Corporate Law Attorney Bob E. Lehman, Partner

P: (516) 222-0888 Ex. 114

F: (516) 222-0948

New York City (NYC) Corporate Law Attorney Bob E. Lehman, Partner Download vCard

blehman@lehmaneilen.com

New York City (NYC) Corporate Law Attorney Bob E. Lehman, Partner

p: 516-222-0888 Ex. 114
f: 516-222-0948
vCard
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Biography

Bob Lehman is a founding member of Lehman & Eilen and is in charge of the firm's broker-dealer, investment adviser, investment partnership, corporate and commercial transaction practice areas. Bob represents more than 100 registered broker-dealers, over 25 investment advisers and numerous investment partnerships.  His clients are located throughout the United States with several organized as affiliates of foreign-based securities firms operating in such diverse areas of the world as Australia, Bahrain, Brazil, China, France, Germany, Hong Kong, Iceland, Ireland, Malaysia, Norway, Russia, South Africa and the United Kingdom.

Bob has extensive experience in the formation, organization and representation of broker-dealers, investment advisers, financial planners, issuers, industry executives and professionals.  Over the course of his career, he has organized more than 350 securities firms and funds, as well as many other companies engaged in a wide variety of businesses.  Bob has advised hundreds of industry participants in regulatory and corporate matters, from start up to dissolution and everything in between, including representing firms and individuals in enforcement actions, advising on reorganizations, financings and commercial transactions, and counseling non-U.S. financial services entities on doing business in the U.S. His work involves matters with the SEC, FINRA, securities exchanges and state securities commissions.

Bob also is actively involved in initial public offerings, secondary offerings and private placements, both on behalf of issuers and underwriters. His other areas of concentration include complex business stock and asset-based transactions and corporate restructurings.

Bob is widely acknowledged for his in-depth experience in and knowledge of securities regulation and is a regularly featured speaker at various seminars and conferences sponsored by, among others, the Financial Industry Regulatory Authority, Inc. (FINRA) (both national and regional), the Compliance and Legal Division of the Securities Industry Financial Management Association (SIFMA), the National Society of Compliance Professionals, the New York State Society of Certified Public Accountants, the International Association of Financial Planners, the New York State Bar Association and the Nassau County Bar Association.

Bob consistently has been awarded an “AV” rating from Martindale Hubbell, the highest rating given by that organization, and is listed in the Martindale Hubbell Bar Registry of Preeminent lawyers.

Education

Albany Law School of Union University, J.D., 1984

State University of New York at Binghamton, B.A., 1981

Admissions & Certifications

New York

Memberships & Activities

Member, American, New York State and Nassau County Bar Associations

Member of the Compliance and Legal Society of the Securities Industry and Financial Markets Association (SIFMA)

Former Chair of the Securities Law and Corporation Law Committees of the Nassau County Bar Association

Author & Speaker

Panelist, Handling a Regulatory Investigation I, SIFMA Compliance & Legal Society Annual Seminar

Speaker, Overview of Broker-Dealer Rules Impacting Private Funds, Large Law Firm CLE Seminar

Speaker, What is a “Broker” or “Dealer”?, Top 25 Accounting Firm CPE Seminar

Speaker, Buying and Selling a Broker-Dealer, American Institute for Certified Public Accountants (A.I.C.P.A.)/Financial Management Division National Conference of the Securities Industry

Speaker, Soft Dollars, FinOp Duties and Other Current Issues Pertaining to Small Firms, American Institute for Certified Public Accountants (A.I.C.P.A.)/Financial Management Division, National Conference of the Securities Industry

Panelist, Financial and Operational Considerations (Small Firm Focus), FINRA Annual Conference

Panelist, Financial and Operational Issues and Examination Findings with Respect to Net Capital, Customer Protection and Books and Records Rules; Broker-Dealer Liabilities: Incentive Payments from Clearing Firms to Introducing Firms, Expense Sharing Agreements (improper allocations, failure to reflect financial wherewithal of third party payer), Control of Broker-Dealers’ Books and Records Outside the Broker-Dealer, Control of Broker-Dealers’ Bank and Brokerage Accounts, Management Services Agreements - Lack of Substance/Disguised Capital Withdrawals (monthly payments, transaction based compensation); and Advice for FinOps, FINRA Annual Conference

Panelist, Best Practices for Dealing with Examinations; Suggested Best Practices for FinOps and Firms; Other Financial Issues, Regulatory Compliance Conference - Unplugged

Speaker, What FinOps Need to Know, Top 25 Accounting Firm CPE Seminar

Panelist, Suggested Best Practices for FinOps and Firms, FINRA Annual Conference

Speaker, Suggestions for Avoiding Financial Regulatory Problems, Foundation for Accounting Education, Broker-Dealer Conference

Speaker, Legal Update on Matters Affecting the Broker-Dealer Industry From the Financial Perspective with a Focus on Proprietary Trading Firms, Foundation for Accounting Education, Broker-Dealer Conference




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