David A. Schrader

David A. Schrader was admitted to the Bar in 1989. David focuses his legal practice largely on securities industry and broker-dealer matters. David has more than 25 years of experience representing broker-dealers and registered representatives in a wide variety of matters. This includes, among other things, counseling firms on regulatory compliance matters; assisting with licensing issues and new broker-dealer formation; interface with FINRA and the SEC regarding Rule 8210 requests and SEC subpoenas; defense of customer arbitrations; handling clearing disputes; representing firms and brokers in both FINRA, SEC and State investigations and enforcement proceedings. David has previously held Series 7 and Series 24 licenses (lapsed) and completed FINRA's CRCP compliance professional certification program in 2018.

David is also an experienced litigator in complex commercial and securities litigation, including actions arising from failed business transactions, contract disputes, partnership, and intra-corporate disputes, investment fraud and real estate matters. David also represents, broker-dealers and issuers to defend litigations (including class actions) arising from investment banking transactions; failures to register securities and other industry issues. David has extensive experience in the state and federal courts of New York and New Jersey; has handled numerous arbitrations before FINRA and other arbitration forums; and represents clients in other courts throughout the country. Throughout his legal career, Mr. Schrader has provided representation to individual and corporate clients in a variety of transactional and litigation matters that have exceeded hundreds of millions of dollars.

David also provides risk management and business management counseling and advisory services. David has extensive business experience and has served as Chief Operating Officer of Scythian Biosciences Corp. a pharmaceutical R&D company, which he assisted in going public in 2018. David has previously acted as V.P. and general counsel for Laconia Capital Corporation, a broker-dealer; and acted as V.P. of Strategy and General Counsel for K-Tex, LLC, a Chinese trading company with offices in Shanghai.

David's educational background including a B.A. from the Johns Hopkins University (1986); a J.D. in 1988 from the Benjamin N. Cardozo School of Law, graduating cum laude; an L.L.M. in Business Transactions from the University of Alabama School of Law, graduating magna cum laude in 2015; an MBA (2009) and an M.Sc. in Strategic Management (2014) from Indiana University, Kelley School of Business, and an M.Sc. in Global Management, with distinction, from the Thunderbird School of Global Management in 2009.

David has also completed numerous business certifications, including: Certificate in Digital Disruption: Digital Transformation Strategies; Certificate in Global Supply Chain Management; MBA Certificate in Management; Mediator Training Certification; Chief Sustainability Officer Training; Mini-MD Medicine Certificate; FINRA Arbitrator Training; Cannabis Science and Medicine Professional Certificate (Univ. of Vermont Medical School); and FINRA's prestigious CRCP - Securities Industry Compliance Professional Certificate.

On the business advisory front, David assists clients to create novel solutions to business problems, often interfacing business advisory and legal services together.

David was also the editor of a treatise on Partnership Law and is an Adjunct Professor of Business Law at Union University, MCUTS Division (teaching Business Law and the Legal/Regulatory Environment). David is also the winner of several professional business competitions including for entries on topics such as a Strategic Plan to Revive the Travel Industry in the Post COVID-19 Environment; and Utilizing GIS, Business Analytics and Drone Technology to Improve Crop Yield for Subsistence Famers In Remote Global Regions.

Mr. Schrader is active in several Non-Profits, Boards and Community Initiatives. He is a volunteer for the Pacific Community Partners providing free business advisory services; is a Member of the Board of Directors of the ACF Chapter of the Johns Hopkins University; is a Rotary Club member; is a Fellow in the Clinton Global Initiative University; and is a member of Britannia Lodge, FAAM. Mr. Schrader is also a Mediator for the N.Y.S. Supreme Court, Commercial Division.