• Broker-Dealer Litigation and Consulting
• Broker-Dealer Compliance
• Regulatory and Internal Investigations
• Employment and HR Issues
• Fiduciary Duty – DOL and Investment Adviser

Noah Sorkin brings more than 30 years of legal experience as an attorney, with an extensive background in counseling and representing financial services firms while continually focusing on minimizing enterprise risk.

Most recently, for the past ten years Mr. Sorkin was General Counsel at AIG Group in New York. Prior to that, he was Deputy General Counsel at several broker-dealers, including National Financial Services Corp., Oppenheimer and Prudential Securities for nearly 17 years. He began his career as an Asst. District Attorney in New York.

As Senior in-house Counsel for most of his career, he was responsible for regulatory, litigation and related risk-management issues. He has led regulatory investigations and was responsible for managing all litigation and arbitrations. He most recently led his prior firm’s multi-million dollar purchase of a broker-dealer and investment advisory firm. He has served as legal counsel in multiple large dollar arbitration claims, and has been responsible for regulatory filings, ensuring compliance with all regulatory issues and oversight of product suitability and supervision.

Noah received his BA from Connecticut College, his J.D. from Georgetown University and his LLM in Taxation from NYU Law School in New York.