Biography

As head of Tannenbaum Helpern’s Governmental and Regulatory Investigations practice, Ralph Siciliano represents investment advisors, private funds, broker-dealers and their associated persons, and officers and directors of publicly held companies in connection with investigations and enforcement proceedings brought by federal and state authorities and self-regulatory organizations, including the SEC, FINRA, offices of the United States Attorney, and State Attorneys General. Having held senior enforcement positions in the New York Office of the U.S. Securities and Exchange Commission, Ralph has extensive experience dealing with federal and state regulatory agencies and self-regulatory organizations, including structuring settlements with such agencies and seeking relief from SEC bar orders and the “bad actor” disqualification provisions under the federal securities laws.

Ralph also represents officers and directors of public companies and financial services institutions and individuals in securities-related litigations, including the defense of class actions, shareholder derivative actions and claims by bankruptcy trustees. Ralph also has been retained to testify on federal and state securities-related issues in litigation and arbitration matters.

Ralph also advises not-for-profit corporations and foundations on governance issues and regulatory compliance, and he has served as counsel to Audit Committees and other Special Committees of the Boards of Directors of public and not-for-profit corporations. He has been selected for inclusion in New York Super Lawyers for 2011-2022.