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Richard Serafini has an extensive background in representing persons and businesses in white collar, enforcement, and complex civil cases. Mr. Serafini is particularly experienced in jury trials having tried complex cases throughout the United States.
The industries in which Mr. Serafini has represented clients include securities, health care, banking, education, and energy. He is also very experienced in civil RICO, asset forfeiture, money laundering, accounting issues, internal investigations, and corporate compliance issues.
While at the Department of Justice and the Securities and Exchange Commission, Mr. Serafini received numerous awards for service and acheivement including a Special Commendation Award from the Criminal Division of DOJ.
Mr. Serafini has served as an expert commentator for a number of news outlets. He has been interviewed about white collar crime and securities enforcement by the following news services: The New York Times, The Miami Herald, The Wall Street Journal, The Sun-Sentinel, CNN, CNBC, USA Today Radio, CBS News Radio, news radio stations in New York, Philadelphia, Boston, and Miami.
| Richard Aldo Serafini: | Member at The Serafini Law Office, LLC |
 |
One Financial Plaza 100 SE Third Avenue, Suite 2510 Fort Lauderdale, FL 33394 |
| Website: | www.rserafinilaw.com |
| Offices: |
Serafini Law Office, LLC
|
I have experience in white collar crime in courts throughout the United States. I have handled all manner of fraud allegations including securities, health care, investment, financial reporting, accounting, contract, computer, credit card, tax, currency transactions, and real property. Additionally, I am very experienced in the following areas: RICO, Foreign Corrupt Practices Act issues, national security cases, and compliance issues. Moreover, I have handled many drug distribution matters.
I was a supervisor in the New York office of the Securities and Exchange Commission. My practice includes representation individuals, companies and broker dealers before the SEC and CFTC, FINRA, and state agencies. In addition I have represented plaintiffs in NASD/FINRA arbitration actions. Finally, I have defended corporations and their officers in class action and shareholder derivative actions.
I have a background in the Securities and Exchange Commission. I have handled numerous SEC matters as well as Federal Trade Commission, Comptroller of the Currency, and banking matters
My securities practice has included the representation of those who have been swindled by dishonest companies and financial professionals. I learned the intricacies of the investment markets and the types of fraud while at the Securities and Exchange Commission. In private practice, I have continued to represent those who are the victims of unscrupulous behavior.
My securities practice has included the representation of those who have been swindled by dishonest companies and financial professionals. I learned the intricacies of the investment markets and the types of fraud while at the Securities and Exchange Commission. In private practice, I have continued to represent those who are the victims of unscrupulous behavior.
| Association name | Position name | Duration |
|---|---|---|
| National Association of Criminal Defense Lawyers | N/A | N/A |
| Miami-Dade County Bar Association | N/A | N/A |
| Broward County Bar Association | N/A | N/A |
| American Bar Association | N/A | N/A |
| Federal Bar Association, Federal Litigation Section | N/A | N/A |
| National Association of Criminal Defense Lawyers | N/A | |
| Miami-Dade County Bar Association | N/A | |
| Broward County Bar Association | N/A | |
| American Bar Association | N/A | |
| Federal Bar Association, Federal Litigation Section | N/A | |
| National Association of Criminal Defense Lawyers | N/A | 1900 - 1900 |
| Miami-Dade County Bar Association | N/A | 1900 - 1900 |
| Broward County Bar Association | N/A | 1900 - 1900 |
| American Bar Association | N/A | 1900 - 1900 |
| Federal Bar Association, Federal Litigation Section | N/A | 1900 - 1900 |
| Award name | Grantor | Date granted |
|---|---|---|
| AV Preeminent Peer Review Rating | Martindale-Hubbell | 2017 |
| Special Commendation Award | U.S. Department of Justice | 2000 |
| Commendation | U.S. Attorney for the Northern District of California | 2000 |
| Letter of Commendation | Criminal Division, Department of Justice | 1995 |
| Letter of Commendation | U.S. Attorney for the Easter District of Virginia | 1995 |
| Letter of Commendation | Attorney General of the United States | 1994 |
| Letter of Commendation | Mayor of the City of New York | 1981 |
| School name | Degree | Graduated |
|---|---|---|
| University of Pennsylvania | BA - Bachelor of Arts | 1976 |
| Temple University - James E. Beasley School of Law | JD - Juris Doctor | 1979 |
| Temple University - James E. Beasley School of Law | JD - Juris Doctor | 1979 |
| Case name | Outcome |
|---|---|
| United States v. John That Luong, et al. | Conviction after trial |
| United States v. Patrick Campbell | Client acquitted of all charges |
| United States v. Psychiatric Institutes of America | Guilty plea |
| State | Number | Status | Acquired | Updated |
|---|---|---|---|---|
| NY | Currently registered | 1980 | 11/13/2021 | |
| PA | Inactive | 1979 | 11/13/2021 | |
| FL | 972037 | Member in Good Standing | 1993 | 04/25/2019 |
| Publication name | Title | Date |
|---|---|---|
| White Collar, Securites, and Health Care | SAC Capital Advisors Likely to Be Indicted | 2013 |
| Daily Business Review | Expect More Policing of Offshore Tax Havens in Wake of Settlement | 2011 |
| Conference name | Title | Date |
|---|---|---|
| From the Boardroom to the Courtroom | Criminalization of Corporate Conduct | 2011 |
| Audio Educator Series | Responding to Government Investigations | 2010 |
| 13th Annual Kentucky Sleep Medicine Conference | Fraud and abuse, Stark regulations, legal developments | 2009 |
| Title | Company name | Duration |
|---|---|---|
| Examining Attorney | New York City Department of Investigation | 1979 - 1983 |
| Examining Attorney | New York City Department of Investigation | 1979 - 1983 |
| Assistant Attorney General | New York State Attorney General's Office | 1983 - 1986 |
| Assistant Attorney General | New York State Attorney General's Office | 1983 - 1986 |
| Branch Chief | U.S. Securities and Exchange Commission | 1986 - 1989 |
| Branch Chief | U.S. Securities and Exchange Commission | 1986 - 1989 |
| Trial Attorney | U. S. Department of Justice, Criminal Division | 1990 - 2000 |
| Trial Attorney | U. S. Department of Justice, Criminal Division | 1990 - 2000 |
| N/A | Broad & Cassel | 2001 - 2003 |
| Broad & Cassel | 2001 - 2003 | |
| Broad & Cassel | 2001 - 2003 | |
| Greenberg Traurig | 2003 - 2008 | |
| N/A | Greenberg Traurig | 2003 - 2008 |
| Greenberg Traurig | 2003 - 2008 | |
| Adams, Cassidy & Phillippi | 2009 - 2010 | |
| N/A | Adams, Cassidy & Phillippi | 2009 - 2010 |
| Adams, Cassidy & Phillippi | 2009 - 2010 | |
| Of Counsel | Ruden McClosky | 2010 - 1900 |
| Of Counsel | Ruden McClosky | N/A |
| Of Counsel | Ruden McClosky | N/A |
| Attorney | Serafini Law Office, LLC | 2011 - 1900 |
| Attorney | Serafini Law Office, LLC | N/A |
| Attorney | Serafini Law Office, LLC | N/A |
