James A. Harvey, Associate

Biography

James is an Associate in Lehman & Eilen’s broker-dealer, investment adviser and commercial transaction practice areas. Since starting with the firm in 2014, he has been involved in a variety of corporate and regulatory initiatives.

Prior to attending law school, James held a number of positions in the securities industry, including serving as a Series 26 principal for a broker-dealer and as an investment manager responsible for managing a forty million dollar securities portfolio with five registered representatives. During law school, James worked in several corporate and securities law environments. As a legal intern for the Securities Arbitration Clinic at St. John’s Law School, he interviewed clients, conducted factual investigations, performed legal research, analyzed financial statements and helped form legal strategies in securities arbitration cases before FINRA. While a legal intern for several New York City early-stage companies, James assisted in structuring, documenting and negotiating a wide range of corporate transactions, including acquisitions, mergers, recapitalizations and equity and debt financings. In addition, as a legal extern with the Enforcement Division of FINRA in New York, James worked closely with the regional management and staff to investigate and initiate enforcement actions against FINRA-regulated firms and associated individuals.