Corporate and Financial Services Partner
Ron S. Geffner is a member of Sadis & Goldberg LLP and oversees the Financial Services Group. He regularly structures, organizes and counsels private investment vehicles, investment advisory organizations, brokerdealers, commodity pool operators and other investment fiduciaries. Mr. Geffner also routinely counsels clients in connection with regulatory investigations and actions. Mr. Geffner's broad background with federal and state securities laws and the rules, regulations and customary practices of the United States Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority, Commodities Futures Trading Commission and various other regulatory bodies, enables him to provide strategic guidance to a diverse clientele. He provides legal services to several hundred hedge funds, private equity funds and venture capital funds organized in the United States and offshore.
Mr. Geffner began his legal career with the SEC, where he investigated and prosecuted violations of the Federal securities laws with an emphasis on enforcement in connection with violations of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. He also assisted federal and state criminal agencies such as the Federal Bureau of Investigation, U.S. Attorney's Office and the Attorney General's Office, in connection with their investigations of possible criminal violations of federal and state securities laws.
Prior to joining Sadis & Goldberg, Mr. Geffner was associated with two other New York City based law firms, where he represented domestic and offshore private investment vehicles, as well as broker-dealers, registered investment advisers and registered investment companies. He began his corporate legal career as in-house counsel to the Investment Management Industry Services Group of PricewaterhouseCoopers LLP. He provided legal advice to the Group regarding investment advisers, registered investment companies and broker-dealers.
Mr. Geffner is often interviewed as a legal expert in the securities industry and has been interviewed on television on Fox News, CBS Morning Show, CBS Evening News with Dan Rather, Squawk Box and Power Lunch on CNBC, British Broadcasting Channel, Bloomberg Radio, and is regularly quoted in The New York Times, The Wall Street Journal, Bloomberg News, Barron's, Barron's Online, Reuters, Dow Jones, Financial Times, New York Newsday, London Daily News, TheStreet.com, Private Equity Week and other national and international publications. On April 6, 2005, Mr. Geffner was invited to speak to the U.S. Commodity Futures Trading Commission in Washington D.C. as a panelist on the CPO and Commodity Pool Roundtable in connection with recent developments in the hedge fund industry. In addition, he has published a number of leading industry and legal articles.
Mr. Geffner received his J.D. in 1991 from Benjamin N. Cardozo School of Law, and received his B.A. degree in 1988 from Rutgers University. He is a member of the New York and New Jersey Bars.