Martin Unger

Partner

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Marty is a Partner in the firm's litigation and securities practice. A well-seasoned practitioner, he brings years of complex litigation experience from his prior experience with Blank Rome, LLP and Certilman Balin Adler & Hyman, LLP.

Since 1971, Marty has focused his practice on securities litigation and securities regulatory matters in federal and state courts and before self-regulatory organizations, including the Securities and Exchange Commission and the Commodity Futures Trading Commission. He has represented clients in lawsuits, arbitrations and administrative proceedings and investigations.

Marty has served on the Committee on Federal Regulation of Securities on Civil Litigation and SEC Enforcement Matters, the Litigation Section, Committee on Business Torts Litigation and the Committee on Securities Litigation of the American Bar Association. He is a member of the Nassau County Bar Association and has served as an arbitrator for FINRA, New York Stock Exchange, and American Arbitration Association. A published author of articles on arbitration, litigation and regulatory matters, he is admitted to the practice in the State of New York, as well as the U.S. Supreme Court, U.S. Courts of Appeal for the Second, Fifth, Ninth, Tenth and Eleventh Circuits and the Eastern and Southern District Federal Courts of New York.

Marty earned his Bachelor of Arts from Alfred University and went on to earn his Juris Doctor from New York University where he graduated cum laude. While at NYU, Marty was a member of the Order of the Coif and Law Review. Marty later earned his Master of Laws Degree from Brooklyn Law School. Upon graduation, Marty served as law clerk to Honorable Jacob Mishler, United States District Judge for the Eastern District of New York.
  • Christopher Rice vs. Shane Joseph Melito, Upinder Kumar Sharma, Philip A. Dina, Andrew C. Lavenziano

    Commercial Litigation & Securities Arbitration

    Claimant asserted the following causes of action: churning, suitability, unauthorized
    trading, negligence, breach of fiduciary duty, breach of contract, misrepresentation, lost
    opportunity damages, failure to supervise, and disgorgement. In the Amended
    Statement of Claim, the Claimant added the following cause of action: failure to
    supervise. The causes of action relate to various securities.
    Unless specifically admitted in his Statement of Answer and Amended Statement of
    Answer, Respondent Melito denied the allegations made in the Statement of Claim and
    Amended Statement of Claim, and asserted various affirmative defenses.
    Unless specifically admitted in his Statement of Answer, Respondent Sharma denied the
    allegations made in the Amended Statement of Claim and asserted various affirmative
    defenses.
    Unless specifically admitted in his Statement of Answer, Respondent Dina denied the
    allegations made in the Amended Statement of Claim and asserted various affirmative
    defenses.

    Award:

    After considering the pleadings, the testimony and evidence presented at the hearing,
    and the post-hearing submissions, the Panel has decided in full and final resolution of
    the issues submitted for determination as follows:
    1. Claimant’s claims against Respondents Melito and Lavenziano are denied in
    their entirety.
    2. Claimant’s claims against Respondent Sharma are dismissed in their entirety.
    3. Respondent Melito’s request for expungement of his CRD records is denied.
    4. Respondent Sharma’s request for expungement of his CRD records is
    denied.
    5. Any and all claims for relief not specifically addressed herein, including attorneys’
    fees and punitive damages, are denied.

    Case Number: 16-00095

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