Ernest E. Badway is co-chair of the firm’s Securities Industry Practice and advises clients on a broad range of business matters, including securities, commodities, intellectual property, employment, corporate governance, partnership and shareholder disputes, minority shareholder oppression, contracts and litigation.
He also counsels clients on the creation of cryptocurrency exchanges, alternative trading systems, broker-dealers, investment advisers, commodity trading advisers, futures commission merchants, introducing brokers, hedge and private equity funds, and commodity pool operators as well as compliance and regulatory matters relating to their operations.
Ernest also assist clients in using ICOs and SAFTs to fundraise, as well as those clients who invest in digital currency and operate digital currency funds.
As part of his practice, he also assists financial services firms to obtain BitLicenses, comply with OCIE examinations targeting digital currency investment, and ensure compliance with FinCEN, FINRA and Bank Secrecy Act regulations, including, among other things, Know Your Customer (KYC).
Anti-Money Laundering (AML) and data privacy requirements. Similarly, Ernest aids financial services firms with cybersecurity demands, and advises on various regulatory compliance matters, including the comprehensive New York Department of Financial Services Cybersecurity Requirements for Financial Services Companies, and mandates regarding risk assessment, personnel, policy, breach notification and third-party service providers, as well as SEC, CFTC, and FINRA requirements relating to cybersecurity requirements.
Ernest is also the former co-chair of the firm’s White-Collar Criminal Defense & Regulatory Compliance Practice and has extensive experience in representing individual and corporate clients in internal investigations.
A frequent speaker and author on topics affecting corporations, executives and their employees, Ernest has moderated and participated in many forums, most notably with the American Bar Association, the New York County Lawyers’ Association, the American Conference Institute, the New Jersey Trial Lawyers’ Association and the Association of Corporate Counsel of America.
Ernest has also published articles in the Rutgers Law Review, New York Law School Journal of Taxation and Regulation of Financial Institutions, New York Law Journal, New Jersey Law Journal, the ABA’s WCC Bulletinand industry publications such as The Registered Rep. Magazine and The Hedge Fund Law Report.
- Duke University School of Law(J.D., 1992)
- Boston University (M.A., 1989)
- Boston University (B.A., 1989)
- American Bar Association, Section on Litigation and Section on Criminal Justice
- New York State Bar Association, Delegate to House of Delegates
- The Association of the Federal Bar of the State of New Jersey
- Chartered Institute of Arbitrators Fellow (FCIArb)
- Co-Chair, Foreign Corrupt Practices Act Substantive Committee, Criminal Justice Section, American Bar Association
BOARD OF DIRECTORS : National Association of Independent Broker/Dealers
COURT ADMISSIONS :
- U.S. Court of Appeals, Second Circuit
- U.S. District Court, District of Columbia
- U.S. District Court, District of New Jersey
- U.S. District Court, Southern District of New York
- U.S. District Court, Northern District of New York
BAR ADMISSIONS :
- New Jersey
- New York
- District of Columbia
Rate : $$$