David L. Carey
- Commercial and Securities Litigation 70%
- Business and Contractual Transactions 30%
David Carey is a litigation and regulatory attorney that focuses on business, securities and real estate matters.
Most recently David acted as defense counsel in commercial litigation cases involving breach of contract, quiet title, and specific performance. David recently served as special counsel in responding to a Financial Industry Regulatory Authority (FINRA) trading inquiry. He collected evidence, interviewed witnesses and prepared the response to FINRA. David has counseled clients on broker-dealer registration issues, private placements and compliance with Sec. 16 of the Securities Exchange Act governing insiders' ownership of equity securities of a public company.
David has served as counsel in a New York petition under the Interstate Discovery and Depositions Act and served as co-counsel in a NY Article 78 Petition under the FOIL. In addition, David has represented homeowners in HOA disputes regarding breaches of covenants, codes and restrictions, by-laws and assessments. David has represented parties in negotiating real estate contracts and leases, closing sales and clearing title objections.
While serving as Associate Director at FINRA, and its predecessor the New York Stock Exchange, David served as an expert on jurisdiction, injunctions, hearing procedures, conflicts of interest, and data privacy. David prepared awards in expungement cases, trained over 200 arbitrators on FINRA rules on discovery, hearing procedures and awards, prepared reports and rule proposals for the Securities and Exchange Commission's (SEC) Division of Trading and Markets and Office of Compliance Inspections, responded to SEC and FINRA internal audits, prepared and presented board memos for FINRA's National Arbitration and Mediation Committee, prepared Regulatory Notices regarding new rules and partnered with FINRA Enforcement to prepare testimony and the hearing record for registration suspension hearings.
David serves as an arbitrator with FINRA, the New York Courts' attorney-client fee dispute panel and in Magnuson-Moss automobile warranty cases. David also serves as a mediator in commercial and personal injury cases in the New York courts. David is a trustee of the Cold Spring Harbor Library Foundation.
- St. John's University School of Law
- J.D. - 1985
- Cornell University School of Industrial and Labor Relations, New York, New York
- B.S. - 1982
- New York, 1986
Classes & Seminars
- NYSE and FINRA - Instructor, 1992 to 2020
- Arbitrator Training
- Trustee, Cold Spring Harbor Library Foundation, 2018 to Present
- Private Practice, Sole Practicioner, 2020 - Present
Fraternities or Sororities
- Chi Phi
- New York Bar Association, Committee on the New York State Constitution, 2022 to Present