Barry Temkin

Barry Temkin is a partner at Mound Cotton Wollan & Greengrass LLP.  He is a litigator with extensive trial experience, having tried over fifty jury trials to verdict.  He has also litigated numerous arbitrations, including securities, commercial and employment disputes. As an Assistant District Attorney in Brooklyn, he tried dozens of jury cases and served as a Senior Trial Attorney in the Homicide Bureau.  Mr. Temkin represents broker dealers, financial advisors, insurance brokers, financial firms and investment advisers in litigation, arbitration and regulatory investigations. Mr. Temkin represents lawyers and law firms in professional responsibility matters, including conflicts, sanction proceedings, fee disputes, legal malpractice cases and proceedings before the attorney grievance committee. He also litigates and tries commercial, construction and professional liability cases.

Mr. Temkin is an adjunct professor at Fordham University School of Law, where he teaches courses on securities regulation and professional responsibility. Mr. Temkin has published articles on securities law and attorney professionalism in the Georgetown Journal of Legal Ethics, Law 360,  The Securities Regulation Law Journal, Seattle University Law Review, Securities Arbitration Commentator, and the New York Law Journal. Mr. Temkin has been a member of the FINRA (Financial Industry Regulatory Authority) Board of Arbitrators since 1999, and served for ten years as co-chair of the New York Country Lawyers’ Association Professional Ethics Committee. Mr. Temkin has lectured on securities law, professional liability and legal ethics at the New York State Bar Association, the New York County Lawyers’ Association, the Association of the Bar of the City of New York, the Practicing Law Institute, the Futures Industry Association and numerous corporations and insurance companies. He has been quoted in the ABA Journal, Investment News, the New York Law Journal, The Economist, The Wall Street Journal.com, Law360.com, The National Law Journal, American Banker, Lawyers U.S.A. and other publications.  He is a graduate of the University of Pennsylvania Law School and the University of Rochester.

Memberships/Honors

• Adjunct Professor, Fordham University School of Law 2007- present
• Co-chair, New York County Lawyers’ Association Committee on Professional Ethics. 2006 – 2016; Member, 2001 - present
• Member, Editorial Board of Oxford University Press, New York Rules of Professional Conduct
• Member, Financial Industry Regulatory Authority (FINRA) Board of Arbitrators, 1999 – present
• New York County Lawyers’ Association, Committee on Futures and Derivatives
• Volunteer Attorney, Trial Lawyers Care, 2001 – 2004
• Otto L. Walter Distinguished Writing Award, New York Law School, 2008

Publications

• The NY Department of Financial Services Cybersecurity Regulations: An Update, New York Law Journal, June 2018
• The Contract, The Law, and The Courts: Determining the Enforceability of Indemnity Agreements is A Three-Step Process,  CLM Magazine, September 8, 2017 (with Robert Usinger).
• New Cyber Security Regulations Promulgated By New York’s Department Of Financial Services, Corporate Disputes Magazine, Jan-Mar 2017 (with Robert Usinger).
• Lawyers As Whistleblowers: Recent Developments, Plus Journal, (December 2016).
• Effects of New Standards for Company Plan Fiduciaries, New York Law Journal, (August 5, 2015)(with Kate Digeronimo).
• Recent Developments in FINRA Arbitration, PLUS Journal, (August, 2104) (with Robert Usinger and Christopher Amore).
• The SEC’s Proposed Uniform Fiduciary Standard for Financial Advisers: An Update, PLUS Journal, (March, 2015).
• May Lawyers Collect Whistleblower Bounties Under Dodd-Frank?, published in the New York Law Journal (November 6, 2013).
• Solicitation By Defense Counsel: Ethical Pitfalls When Corporate Defense Counsel Offers Representation to Witnesses, published in the Defense Counsel Journal (October 15, 2013) (with Michael Stone).
• The Perils of Outside Referrals by Lawyers, PLUS Journal (August 1, 2013) (with Robert Usinger).
• Conflicts of Interest and Choice of Counsel in Insurance Policies: Some Recent Developments, PLUS Journal (August, 2012) (with Robert Usinger).
• Lawyers as Whistleblowers Under the Dodd-Frank Wall Street Reform Act Ethical Conflicts Under the Rules of Professional Conduct and SEC Rules, NYSBA Journal (July/August 2012 Issue ) (with Ben Moskovits).
• Appearances in FINRA Arbitrations By Out-of-State Lawyers, New York Law Journal (March 16, 2012) (with Robert Usinger).
• Arbitration: Handling FINRA’s New Discovery Guide, Compliance Reporter (July 18, 2011) (with Kate Digeronimo).
• Ethical Issues for Lawyers Under the Dodd-Frank Wall Street Reform and Consumer Protection Act: Lawyer Representations Under the End-User Swap Exemption, BNA Securities Regulation & Law Report (June 6, 2011) (with Michael Sackheim).
• CFTC Targets Forex Industry Compliance, Compliance Reporter (April 18, 2011) (with Felix Shipkevich).
• How to Staff an Ethics Hotline, Bar Leader Magazine, Vol. 35, No. 3 (April 2011) (with Gordon Eng).
• Twittering Jurors and the Rules of Professional Conduct: Should Lawyers Avert Their Eyes from Juror Social Network Postings?, ABA/BNA Lawyers’ Manual on Professional Conduct (March 30, 2011).
• New Suitability and Fiduciary Standards for Financial Advisers Under the Dodd-Frank Wall Street Reform and Consumer Protection Act and FINRA Rules, Securities Arbitration Commentator (March 2011) (with Michael R. Koblenz).
• The Ethical Issues of Lateral Moves: Whether, When and How to Notify Clients of a Lawyer’s Resignation, New York State Bar Journal, Vol. 83, No. 3 (March/April 2011).
• Labor and Employment in the Securities Industry: Are Registered Securities Representatives Subject to the Fair Labor Standards Act?, 38 Securities Regulation Law Journal 371 (Winter 2010) (with Robert Goodman).
• New York Rules of Professional Conduct, Oxford University Press, Rule Editor and Contributor of Four Chapters (2010).
• Is Law Firm Discrimination Unethical?, New York Law Journal (August 26, 2010).
• State Regulation of Unauthorized Practice of Law in Arbitration and Mediation: The Trend Toward Permitting Multijurisdictional Practice in ADR, BNA Securities Regulation & Law Report, 42 SRLR 1561 (August 16, 2010).
• Supervision Duties Under the Commodity Exchange Act, New York Law Journal (May 27, 2010).
• Settling Away: Unreported Private Settlement of Customer Complaints in the Securities Industry, Securities Arbitration Commentator, Vol. 2009, No. 4 (May 2010).
• Open Questions on the Duty to Advise of the Right to Select Independent Counsel, The Defendant (Spring 2010).
• Intrafamily Conflicts of Interest Under the Rules of Professional Conduct, New York Law Journal (December 31, 2009).
• Lying by Proxy: Permissible Trickery and Deception by Undercover Investigators, New York Law Journal (October 13, 2009).
• Coverage Conflicts for Retained Insurance Defense Counsel, New York Law Journal (July 8, 2009).
• Client Perjury Under the New Rules of Professional Conduct, New York Law Journal (February 24, 2009).
• Deception in Undercover Investigations: Conduct Based vs. Status Based Ethical Analysis, 32 Seattle University Law Review 123 (Fall 2008). (Winner of 2008 Otto L. Walter Distinguished Writing Award from New York Law School)
• Arbitration of Customer Claims Before the New Financial Industry Regulatory Authority (with James Yellen), New York Law Journal (June 2008).
• Are Insurance Brokers Professionals? New York Law Journal (August 8, 2006).
• Statutes of Limitation in Securities Arbitrations, New York Law Journal (June 16, 2005).
• Ethical Issues in Settlement Negotiations, New York Law Journal (March 14, 2005).
• Misrepresentation By Omission in Settlement Negotiations: Should There Be A Silent Safe Harbor?, 18 Georgetown J. L. Ethics 179 (Fall/Winter 2004).
• Pleading Standards in Securities Arbitrations, New York Law Journal (Sept. 20, 2004).
• Errant E-Mail: Inadvertent Disclosure of Confidential Material Poses Dilemma, New York Law Journal, (October 14, 2003).
• Ethical, Legal and Practical Implications of Attorney Referral Fees, New York Law Journal (August 7, 2002).
• Reviewing Legal Implications of Variable Annuities, New York Law Journal (February 26, 2002).
• Can Negligent Referral to Another Attorney Constitute Legal Malpractice? 17 Touro L. Rev. 639 (Spring 2001).
• Guidance Given on Discovery in NASD Arbitrations, New York Law Journal (Nov. 13, 2001).
• New York’s Labor Law Section 240: Has it Been Narrowed or Expanded By The Courts Beyond The Legislative Intent?, 44 New York Law School Law Review 45 (2000), 44 NYLSLR 45 (cited with approval in Narducci v. Manhasset Bay Associates, 96 N.Y.2d 259, 727 N.Y.S.2d 37 (2001), and Almanzar v. Goval Realty Corp., 286 A.D.2d 278, 729 N.Y.S.2d 133 (1st Dep’t 2001).

Speaking Engagements

• National Society of Compliance Professionals
• Futures Industry Association, Law and Compliance Division Conference on the Regulation of Futures, Derivatives and OTC Products
• Swaps & Derivatives Global Markets Regulation, American Conference Institute’s National Advanced Summit.
• Ethics for Financial Industry Lawyers, SIFMA Ethics Seminar.
• Futures Industry Association, Law and Compliance Division Conference on the Regulation of Futures, Derivatives and OTC Products.
• Futures and Derivatives Committee, New York County Lawyers’ Association, The Remaking of Wall Street.
• American Conference Institute, 2nd Annual Forum on LPL/Legal Malpratice: Departing Attorneys, Lateral Hires, and Their Impact on LPL: Risk Management and Policy Considerations for Carriers and Law Firms.
• Futures and Derivatives Committee, New York County Lawyers’ Association, Supervisory Liability Under the Commodity Exchange Act.
• New York City Bar, Everyday Ethical Challenges in the Practice of Law.
• New York State Trial Lawyers Institute: Ethical Issues for Solo and Small Firm Practitioners.
• Defense Association of New York: Conflicts For Retained Defense Lawyers.
• New York State Bar Association: Ethical Conflicts for Directors of Not-for-Profit-Corporations.
• New York City Bar, Judicial Elections: The Ethical and Practical Dilemmas They Pose for Practicing Lawyers.
• New York County Lawyers’ Association, Ethical Issues in Internal Investigations.
• New York County Lawyers’ Association, Civil Trial Practice Institute.