Biography

Steven Mellen is an experienced commercial and securities litigator who has conducted trials in both federal and state courts, as well as numerous arbitration hearings before FINRA, AAA, and other arbitration forums. His principal areas of practice are business and securities litigation, and he represents a wide variety of professionals, including registered investment advisors, registered representatives, attorneys, accountants, and corporate directors and officers. Mr. Mellen has represented corporate clients both large and small, including national and regional broker-dealers, securities exchanges, retail and wholesale insurance brokers, and investment firms.

In addition to his litigation background, he has substantial experience representing both securities firms and financial professionals in regulatory proceedings and investigations before the SEC, FINRA, and numerous state regulatory bodies. He has also represented many corporate and individual clients in litigation regarding non-compete and non-solicitation agreements, as well as advising numerous clients on how to avoid such litigation. Mr. Mellen also advises clients regarding a wide variety of transactional matters, including the provision of guidance to securities-industry clients on compliance matters, supervisory issues, and anti-money laundering (AML).

Publications

• “Think the Right to Arbitrate has been Waived? Think Again!” Practising Law Institute, August 6, 2008

Associated Posts

• SEC Sanctions Investment Advisor $10 Million Over Standard Non-Disclosure Provisions That SEC Found to Have Violated Its Whistleblower Protection Rules
• WSS Wins Coast to Coast Arbitrations in Two Separate Matters Within Weeks of Each Other