Financial Services Lawyers for New Jersey

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Meet some of our New Jersey Financial Services Lawyers

Dimitry K. - Financial Services Lawyer in New Jersey
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5.0 (1)
Member Since:
November 14, 2023

Dimitry K.

Managing Partner
Free Consultation
Philadelphia
18 Yrs Experience
Licensed in NJ PA
Rutgers School of Law-Camden

Prior to becoming an attorney, Mr. Dimitry Alexander Kaplun had been involved with many industries and professions, and helped manage, create, and advise a wide range of businesses around the world. While at Drexel University as a computer science major, he became an NASD licensed representative and was employed by Fortune 100 insurance companies, including Prudential, AIG, and NY Life, first specializing in financial investments for life and annuity products, and then expanding his expertise to mutual finds, stocks, environmental insurance, and real property. Due to his technical expertise and a clear understanding of business rules, he was soon brought on board to help assist those companies with coding their interface for the Y2K switch. Soon after switching his major to business, Mr. Kaplun worked for a telecommunication service company first in quality assurance and then as a database programmer and developer, with sole and exclusive responsibilities for a multitude of warehouses located around the continental United States. Working on-site and from the company headquarters, he was responsible for streamlining processes for internal departments while fulfilling the quickly changing needs to the company clients, most notably Verizon Wireless. Mr. Kaplun opened his practice in 2008. Prior to starting his practice, he worked as a paralegal instructor for Prism Career Institute, creating the lesson plans for the whole program and focusing his instruction on substantive and procedural laws for general practitioners. Mr. Kaplun also worked as an associate for The Law Office of Keith Owen Campbell PC, focusing on Family and Matrimonial Law, and assisted the law firm of Jeffrey Neu and Associates in securities research as well as various contact and sales agreements, mainly online reseller agreements. He currently focuses his energy on representing individuals and companies in liability insulation, contracts and business agreements, and other legal concerns that crop up in the regular operation of doing business.

Christopher X. - Financial Services Lawyer in New Jersey
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Member Since:
September 15, 2023

Christopher X.

Attorney
Free Consultation
Staten Island, New York
5 Yrs Experience
Licensed in NJ NY
Hofstra University School of Law

Recent law school graduate with an undergraduate degree in biomedical engineering degree passionate about the intersectionality of law and life sciences. Admitted to New York and New Jersey Bar. Ability to add value in a pharmaceutical or biotechnology entity and provide a unique perspective to multiple disciplines.

Ian L. - Financial Services Lawyer in New Jersey
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Member Since:
September 25, 2023

Ian L.

Principal
Free Consultation
Ridgewood, NJ
28 Yrs Experience
Licensed in NJ NY
Brooklyin Law School

I am an attorney admitted in New York and New Jersey with 21 years of law firm and in-house, complex litigation, appellate, and counseling experience. I am admitted in the New York U.S. District Courts and several U.S. Courts of Appeals. I have handled white collar litigation and other complex litigation matters. I have extensive insurance coverage, antitrust, contract, and internal investigations experience, and securities law and financial-services litigation experience. I was a candidate for the U.S. Senate in New Jersey 2011.

Kenneth W. - Financial Services Lawyer in New Jersey
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Member Since:
December 6, 2023

Kenneth W.

Lawyer
Free Consultation
Mount Laurel Township
7 Yrs Experience
Licensed in NJ
Elisabeth Haub School of Law at Pace University

Committed to a career in advocacy as an attorney, educator, and consultant, I specialize in education, family, personal injury, and criminal law. While at John Rue & Associates LLC, I led litigation and alternative dispute resolution, handling complex class-action lawsuits involving discrimination, privacy, administrative, and education law. I also directed conflict resolution through mediation, reducing costs and securing favorable client outcomes. While in law school, I served as a law clerk at Wilson Elser, excelling in crafting answers, overseeing discovery, attending depositions, and conducting exhaustive legal research. My responsibilities extended to preparing deposition summaries, assisting in motion practice, drafting persuasive briefs, evaluating cases, and contributing to trial preparations. I thrived in managing client affairs, supporting colleagues, and ensuring compliance with relevant laws. I am eager to explore opportunities to contribute my skills and passion to impactful projects aligned with client needs. I look forward to discussing opportunities and demonstrating how my qualifications will meet client needs.

Ann D. - Financial Services Lawyer in New Jersey
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Member Since:
February 10, 2024

Ann D.

Attorney
Free Consultation
greater Philadelphia area
34 Yrs Experience
Licensed in NJ PA
TEMPLE UNIVERSITY BEASLEY SCHOOL OF LAW PHILADELPHIA, PA

Ann R. Dougherty, Esquire practices in both Pennsylvania and New Jersey with over 25 years of experience and has taught legal writing at the Delaware Law School of Widener University. Ann’s experience includes general liability, commercial property and bad faith insurance coverage litigation. Ann has successfully represented corporations in declaratory judgment matters concerning environmental and asbestos exposure, handled excess recoveries, comprehensive claim reviews and negotiated cost sharing agreements. She has also represented religious organizations including risk management strategies. In addition to practicing law, Ann also teaches introductory Philosophy and Ethics courses. Ann is a member of the Philanthropic Educational Organization for Women and the Daughters of the American Revolution. She has served on the Boards of the American Lung Association of the Mid-Atlantic for Delaware and the Wilmington Ballet Academy.

Faye C. - Financial Services Lawyer in New Jersey
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Member Since:
May 31, 2024

Faye C.

Business & Trusts Attorney
Free Consultation
West Chester, PA
15 Yrs Experience
Licensed in NJ PA
Villanova University School of Law

Practical, efficient and creative solutions for businesses and individuals has been my passion for over a decade. We work with individuals and families to plan their legacies. Estate planning is more than some pieces of paper - it is a gift to your family. From every changing tax laws to questions about probate vs non-probate property, I thrive on counseling others and providing peace of mind. The same mindset goes into working with solopreneurs, entrepreneurs and executives for variety of businesses, addressing their most pressing issues on any given day. From inception to contract drafting to succession planning, we thrive on working with those with lots of ideas to devise and implement strategies to bring those ideas to fruition, foreseeing and anticipating potential pitfalls as well as areas of potential growth.

David S. - Financial Services Lawyer in New Jersey
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Member Since:
April 15, 2024

David S.

Experienced Counsel
Free Consultation
Wayne, New Jersey
45 Yrs Experience
Licensed in NJ NY
St. John's University School of Law

An experienced attorney, fully versed in all facets of commercial and developmental real estate, and general corporate practice, including representing all parties in purchasing, asset purchases, leasing and financing transactions. Experienced in the following areas: Real Estate Development/Development Projects • General Contract Drafting and Negotiation • Construction Contracts •Bankruptcy• Corporate Governance • Transactional Real Estate • Real Estate Financing • Litigation Mergers/Acquisitions • Labor and Employment • Management Equipment Leasing • Land Use • Landlord Tenant Matters

Joseph R. C. - Financial Services Lawyer in New Jersey
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Member Since:
April 13, 2024
Romina S. - Financial Services Lawyer in New Jersey
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Member Since:
April 18, 2024

Romina S.

Managing Attorney
Free Consultation
Morristown, NJ
20 Yrs Experience
Licensed in NJ NY
St. John's University School of Law

Attorney licensed in New York and New Jersey with over 15 years of experience in Real Estate, Property Law and Collection/Debt Defense Law.

Akash K. - Financial Services Lawyer in New Jersey
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Member Since:
May 2, 2024

Akash K.

Partner
Free Consultation
San Francisco, California
10 Yrs Experience
Licensed in NJ DC, NY
Brooklyn Law School

Practicing in New York, New Jersey, New Delhi & Gurgaon, Akash’s cross-border practice focuses on immigration, intellectual property law, entertainment law and transactional law. With a Juris Doctor from Brooklyn Law School, an LLM from NLSIU, and a master’s in management from Lancaster University, Akash is highly qualified to deliver comprehensive and effective legal solutions to all his clients. Akash's immigration law practice focuses on work-based and family-based immigrant and non-immigrant visas. His expertise spans a variety of services in this sector – including petitions, applications, pre-petition compliances, changes of status, employment authorization, derivative applications, maintenance of status, and much more. He also provides consular law services within India. Akash has a strong academic and practical background in Intellectual Property Rights and Media Law. His practice includes IPR registration, IPR management, IPR auditing, pre- and post-publication review, piracy and copyright matters, media law compliances, and more. Akash's international commercial and transactional law practice specializes in cross-border transactions, business structuring, investments, joint ventures, mergers and acquisitions. His alternative dispute resolution practice, both as a commercial mediator, has resulted in successfully resolving disputes over family affairs, business concerns, and commercial disputes. He is a registered a certified commercial mediator with the Indian Institute of Arbitration and Mediation.

Harry R. - Financial Services Lawyer in New Jersey
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Member Since:
May 12, 2024

Harry R.

Founding Attorney
Free Consultation
Brooklyn, New York
9 Yrs Experience
Licensed in NJ NY
Cardozo School of Law

Attorney with a legal practice focused on providing clarity to clients on matters relating to privacy/cybersecurity, marketing/media, and technology/blockchain.

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Financial Services Legal Questions and Answers

Financial Services

Investment Advisory Contract

California

Asked on Aug 11, 2024

Can an investment advisory contract be terminated by the client if they are dissatisfied with the services provided?

I am seeking legal advice regarding an investment advisory contract that I have signed with a financial advisor. I have been dissatisfied with the services provided so far, as the advisor has not been transparent about their fees and has made poor investment decisions. I want to know if I have the right to terminate the contract and what the potential consequences or obligations might be if I do so.

Jonathan W.

Answered Sep 10, 2024

Generally speaking and without seeing the contract, there are usually two ways to get out of contract - (i) under the terms of the agreement or (ii) breaching the contract. First, without a breach of the agreement to determine whether you can do this you need to review the contract to see if there are service levels, promised returns, or other commitments that the IA is not meeting. Then you need to look at the section on termination in the contract and see if their failure to fulfill their obligations is covered and what the process is for termination, i.e. is there a breach cure period, is there a dispute resolution provisions, any penalty/fee for early termination and what are the notice provisions. The other way is to Breach the contract which would be stopping performing your obligations under it which I would assume without seeing it are likely just payment of fees. The potential consequences of breaching a contract could include lawsuits, financial penalties, and damage to your reputation. Also before resorting to breaching the contract, I would suggest exploring negotiation with the Investment Advisor as they may be willing to amend the terms or agree to an early termination. I will also add, in any event, you should be keeping a detailed record of all communications with the Investment Advisor, especially if there are performance issues or disputes. This documentation can be crucial if legal action becomes necessary.

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Financial Services

Loan Agreement

Ohio

Asked on Jun 1, 2025

Can a lender change the terms of a loan agreement without my consent?

I recently entered into a loan agreement with a lender to borrow funds for a business expansion project. However, I have received a notice from the lender stating that they intend to change certain terms of the loan agreement, such as increasing the interest rate and extending the repayment period, without seeking my consent. I am concerned about the legality of such changes and the impact they may have on my business.

Gary S.

Answered Jun 25, 2025

Generally no, a lender cannot unilaterally change the terms of a loan agreement without the borrower's consent. Loan agreements are binding contracts, and any modification to the terms (such as interest rate, repayment schedule, or collateral requirements) typically requires both parties to agree to the change. However, depending on the agreement's terms and the type of loan, there are some nuanced exceptions. Some loan agreements permit changes without borrower consent, such as variable rate provisions, default provisions (allowing changes if borrower is in default), or loan servicing clauses (ex. payment instructions can usually be modified unilaterally). However, in each case, these rights to modify the terms must be clearly stated in the loan agreement, and if the agreement is silent, the lender cannot change the terms without the consent of the borrower. The information provided in this response is for general informational purposes only and does not constitute legal advice. No attorney-client relationship is formed by this communication. For advice specific to your situation, please seek legal counsel.

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