Fred Boy brings more than 30 years of legal experience to Lehman & Eilen. Fred works in the Firm’s broker-dealer, investment adviser, investment partnership and commercial transaction practice areas. He has experience in diverse areas, including the formation and registration of broker-dealers and other companies; restructuring firms and their ownership; negotiating commercial transactions; rendering advice on compliance matters; and advising on financings.
Fred has held a number of senior positions in the securities industry, including general counsel, chief compliance officer and managing director at the institutional broker-dealer Lynch, Jones & Ryan, which was acquired by Instinet, where Fred became associate general counsel and senior vice president. Fred also was general counsel at the software company Tradeware Global Corp., and at the investment banking firm The Transportation Group. Each of these New York-based companies had significant international operations. Fred was responsible for global legal, compliance and regulatory matters, litigation management, regulatory inquiries and counseling on a host of corporate, M&A and business matters. Fred formerly held industry registrations after passing examinations for the Series 7 (general securities representative), 8 (now 9/10) (sales supervisor), 14 (NYSE compliance officer), 24 (general securities principal) and 63 (state securities agent).
Fred has advised companies and their management on matters as varied as market structure, research, trading, compliance, and compensation and other employment matters. Fred has had frequent contact with regulators, as well dealings with legislative members and their staff.
Fred began his legal career at Manhattan-based Cahill Gordon & Reindel as a corporate attorney with a focus on public and private financings, mergers and acquisitions and representation of broker-dealers.
As a former general counsel, Fred appreciates the issues confronting in-house counsel and senior executives, and is able to provide clients advice with the insight of someone directly involved in operating financial services companies.
Education
- St. John’s University School of Law, J.D., 1980
Editor-in-Chief, St. John’s Law Review - State University of New York College at Oneonta, B.A., 1977
Admissions & Certifications
- New York
Memberships & Activities
- American Bar Association
- Nassau County Bar Association
- Former member of the Borough Council, Borough of Florham Park, NJ
- Former member of the Board of Education, Borough of Florham Park, NJ
Publications
- Compensation for Trading Errors, AIMR Standards Reporter (CFA Institute), September/October 1998, Vol. 3, No. 5:1-2. Available here.
- Harmless Error: The Need for a Uniform Standard,” St. John’s Law Review: Vol. 53: Iss. 3, Article 4 (1979), quoted in Connecticut v. Johnson, 460 U.S. 73, 82 (1983). Available here.