James D. Sallah Esq.

Mr. Sallah is an AV Preeminent® rated attorney who concentrates on securities and commodity futures regulation and enforcement, broker-dealer compliance and defense, receivership litigation, whistleblower claims, securities arbitration, and business litigation.

PROFESSIONAL EXPERIENCE:

Since leaving the Securities and Exchange Commission in 2004, Mr. Sallah has represented national and regional brokerage firms, as well as publicly traded companies and individuals, in a variety of matters, including SEC, FINRA, stock exchange, and state regulatory investigations, Congressional Sub-Committee investigations and hearings, internal investigations, federal and state lawsuits, administrative actions, and arbitrations. He has successfully handled matters through trial, arbitration, and regulatory enforcement proceedings.

Mr. Sallah’s reputation as a securities lawyer is recognized among his peers. Each year since 2011, he has been selected as a Florida Super Lawyer in the area of Securities Litigation and among Florida Trend’s Legal Elite. Moreover, Mr. Sallah has been recognized in the South Florida Legal Guide each year since 2008 in the field of Securities Litigation and Arbitration. In 2009 the Daily Business Review selected Mr. Sallah as the “Most Effective Lawyer” in South Florida in the area of Securities Law.

Before entering private practice, Mr. Sallah was a Senior Counsel in the SEC’s Division of Enforcement in Miami, Florida. During his tenure at the SEC, Mr. Sallah handled investigations and litigation in both federal court and administrative forums, including cases involving fraudulent securities offerings, Ponzi schemes, market manipulations, municipal bonds, research analyst conflicts, public company disclosure and periodic reports, and broker-dealer and investment adviser regulation.

Prior to joining the SEC, Mr. Sallah was Assistant Corporate Counsel for Raymond James Financial, Inc., the largest brokerage institution in the Southeastern United States. While at Raymond James, he represented its broker-dealer subsidiaries and their associated persons in a variety of matters, including litigation and arbitration.