Anna Adelstein handles a broad range of commercial disputes, securities litigation and SEC actions. She has particular expertise in the microcap space. Ms. Adelstein has extensive experience representing and defending members of the financial services industry and small public companies in state and federal litigations, FINRA and AAA arbitrations, regulatory matters and agency enforcement proceedings. Her practice involves representing both public and private companies, and their officers and directors, both in shareholder class actions and shareholder derivative suits. These matters involved accounting irregularities, fraud, corporate governance malfeasance, the creation of supermajority shares, as well as other transactions that implicate officers' and directors’ fiduciary duties. Ms. Adelstein also has extensive experience representing financial institutions in arbitration proceedings, in a number of forums that have included AAA and FINRA (formerly the NASD and NYSE). Ms. Adelstein's practice also concentrates on the representation of hedge funds, public companies, stock promoters, investor relations firms, investment advisors and broker-dealers in regulatory matters before the SEC and applicable SROs, and in the white-collar context before the U.S. Attorney's Office.
Ms. Adelstein has gained a reputation as one of the very few specialists in serving the needs of small cap and microcap companies in litigation matters. She has assisted microcap public companies with tasks as diverse as implementing a basic set of corporate guidelines and procedures to both representing lenders and also issuers in the convertible debt litigation space.
Securities Arbitration & Litigation
Securities Regulation & Compliance
Intellectual Property Litigation
Real Estate and Construction Litigation
BAR AND COURT ADMISSIONS
New York State, 2014
SDNY, EDNY 2014
B.A. 2010 The University of Miami (Political Science);
J.D. 2013 Fordham University School of Law