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FIRM PROFILE
Marc S. Gottlieb
I obtained my Bachelor of
Arts from the University of Miami in 1980. After working in
advertising followed by a stint in the independent film business (my
B.A. was in filmmaking), I returned to graduate school to
obtain my law degree (J.D., 1989) from Brooklyn Law School where I
graduated in the top 25% of my class. I immediately sat for and
passed both the New York and New Jersey State bar exams and was
admitted to practice law in both states (N.J., 1989, N.Y. 1990). At
about the same time, I was also admitted to practice law in the U.S.
District Courts of the State of New Jersey and the Southern and
Eastern Districts of New York.
I began my law career as
Associate Trial Counsel at the Law Office of Kevin Kelly, in-house
counsel to Fireman’s Fund Insurance Company specializing in
insurance defense litigation before moving to Tell, Cheser &
Breitbart, also as an Associate Trial Counsel specializing in first
party insurance defense and subrogation litigation. During my first
year of practice, I also taught courses in securities regulation and
torts for two semesters at the Paralegal Institute of New York.
In 1992 I was offered and
accepted the opportunity to became general counsel to Reseal
International, a New York and Los Angeles based pharmaceutical
technology company holding world-wide patents in the pharmaceutical
arena. This opportunity came as the result of my successful
handling of two highly complex lawsuits venued in Los Angeles,
California which saved this small public company.
During my tenure at Reseal,
in addition to handling all of the company’s litigation, I was
responsible for drafting and reviewing the company’s employment and
licensing agreements as well as assisting the company with its
private offerings and shareholder relations issues. In 1994 I left
Reseal to become a member of and senior trial counsel to the law
firm of Beckman & Millman, P.C., ultimately Beckman, Millman &
Sanders, LLP. focusing primarily in corporate and securities related
matters including corporate and securities litigation. This
included civil and regulatory matters involving the SEC and the NASD
(now FINRA). In addition to securities and corporate matters, I
also developed a family law practice which included complex divorce
and custody matters, as well as Family Act matters.
In 2000 I elected to leave
Beckman, Millman & Sanders to open my own law firm while continuing
to remain of-counsel to its successor firm, Beckman, Lieberman &
Barandes. My current practice continues to be devoted to corporate
and securities related matters including fraud, shareholders rights
and other regulatory issues. I have served on the advisory board of
numerous companies. I have also served and continue to serve as
independent counsel to several public companies handling a wide
variety of litigation matters, and as legal advisor to the Boards of
Directors on such matters as potential financial improprieties, SEC
disclosure obligations and proper procedural safeguards in light of
Sarbannes Oxley ("SOX'). Simultaneously, I also continue to handle
a wide range of domestic relations issues including complex and
non-complex matrimonial matters.
I have substantial trial
experience in the federal, state and administrative courts
throughout the United States and have argued numerous appeals as
well. I have handled well in excess of 250 FINRA (formerly NASD)
arbitrations on behalf of customers and broker/dealers and have
tried in excess of 150 securities related cases.
In 2005 I successfully argued a case of first impression before the
Virginia Supreme Court unanimously reversing a trial court’s
decision and establishing legal precedent in the Commonwealth in the
matter of Doe v. Zwelling,
270 Va. 594, 596, 620 S.E.2d 750, 751 (2005).
In 2006, acting as of-counsel to the law firm of Beckman, Lieberman
& Barandes, in yet another case of first impression, I successfully
appealed to the SEC, NASD’s denial of continued association of a
statutorily disqualified person. This case established for the
first time NASD’s obligation to adhere to certain standards
established by the SEC in deciding whether to approve or deny
re-admission to statutorily disqualified individuals.
Over the years, I have been
litigation counsel to a number of public companies, as well as securities
broker/dealers including Spencer-Winston Securities, Seaboard
Securities, and David Williams Securities, to name a few. Over the
past fifteen years, I have represented about dozens of other
broker/dealers and hundreds of registered brokers and compliance
officers. In addition to practicing law in New York and New Jersey,
I have been admitted to practice law pro hac vice in
California, Florida, Texas, Virginia, and Nevada.
In August 2011, I became
of-counsel to Sanders Ortoli Vaughn-Flam Rosenstadt, LLC., a
boutique firm located in midtown Manhattan handling numerous
corporate and securities litigation matters and creating a
securities compliance department within the firm. The firm’s
website can be viewed at
www.sovrlaw.com.”
Although I consider myself a successful lawyer, my greatest success
is undoubtedly my daughter and my son, both now in their 20s.
CREATIVE WRITING
In addition to practicing
law, I am also a novelist. My first novel Pride is a
corporate drama about hostile corporate takeovers. I am currently
completing work on my second novel Dancing Between Raindrops.
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