New Jersey Bureau of Securities

Speaker Bio

Richard Szuch has served in public and private roles in the law for more than 30 years. He started his career as a county prosecutor, where he tried approximately 40 criminal cases to verdict by the age of 30. Currently, he serves as the Enforcement and Investigations Chief for the New Jersey Bureau of Securities. His unit handles investigations and enforcement actions related to securities law violations, whether by Investment Advisers, Broker Dealers (and their agents) or unregistered persons. He oversees the administration of financial exploitation reports filed in the state pursuant to New Jersey's new SAFE Act, a report and hold law requiring reports by financial services firms whenever exploitation is suspected. He is a member of NASAA's at risk investor committee, which devotes its time to improving industry and regulatory efforts to protect vulnerable and at-risk investors.

Prior to this, Rich was a senior partner and member of the Securities Litigation Group at Bressler, Amery & Ross, P.C. There, he represented national and regional banks, broker dealers and investment advisers and counseled them with respect to their legal and regulatory obligations. He was one of the firm's lead trial attorneys, and he helped coordinate the defense of some of the largest securities arbitration cases in the country. Rich has prepared and defended scores of witnesses called to give “œon the record” interviews before the SEC, FINRA and state regulators. He lectures nationwide regarding securities issues and has consistently earned “œA” ratings on his presentations at NSCP, SIFMA and similar conferences.