V. Michael Arias, a Leading Securities Attorney in South Florida Joins Carlson & Lewittes P.A.

Share Article

Former SEC Enforcement Attorney & Broker Dealer VP joins Firm as Of Counsel

V. Michael Arias, a leading securities attorney in South Florida has joined Carlson & Lewittes, P.A. as “Of counsel.” Mr. Arias has more than 20 years of securities, compliance, regulatory and financial legal experience.

Mr. Arias, a former SEC Enforcement Attorney, in-house counsel for Prudential Securities and retail Branch Manager at both Prudential Securities and Morgan Stanley - brings enormous regulatory, compliance and legal experience to his clients, having represented the government, broker-dealers and individual investors. His career in securities litigation began at the United States Securities and Exchange Commission as Senior Counsel and Enforcement Attorney. In this capacity, he spent more than six years litigating civil injunctive actions and administrative proceedings against individuals, broker–dealers and public companies for violations of Federal securities law.

In 1992, Mr. Arias joined Prudential Securities as Vice President, Associate General Counsel, where he represented the firm and its employees in all aspects relating to customer complaints and regulatory investigations, including, arbitrations, court actions, mediations and disciplinary proceedings. Following six years as in-house counsel with Prudential Securities, Mr. Arias successfully completed the company’s management training program, obtaining his NASD series 3, 7, 8, 63 and 65 licenses, and was appointed the retail branch manager of the Coral Gables office for Prudential Securities. In June of 2000, Arias joined Morgan Stanley to manage its’ Coral Gables branch where he was a Senior Vice President, responsible for the management of the entire branch office operations inclusive of the oversight of over 60 stock brokers. Prior to joining Carlson & Lewittes, Arias was an attorney with the law firm of Hanzman & Criden, P.A., where he represented investors with multi-million dollar securities claims.

This broad based securities industry experience in government, corporate and the private sector provides Mr. Arias extraordinary perspective into the possible motivations of the parties involved in a securities or investment dispute, and enables him to represent his clients with a more comprehensive understanding of how the opposing party may be structuring their legal arguments for their case. Thus, Mr. Arias provides enormous value and insight into his client’s investment, employment or regulatory legal matters.

In his capacity as Of Counsel at Carlson & Lewittes, P.A., Mr. Arias represents a wide range of cliental, including individual investors who lost money through fraudulent and unsuitable stockbrokers’ actions and individual brokers who were wrongfully terminated or who are under investigation by the SEC or other self-regulatory agencies, such as the NYSE or NASD.

Mr. Arias graduated from Florida State University in 1981 where he received an undergraduate degree in Finance, a Juris Doctor and a Master in Business Administration. He successfully completed the senior branch manager executive development program for Morgan Stanley at the Wharton School of Business, University of Pennsylvania, in 2002.

About Carlson & Lewittes, P.A.

Carlson & Lewittes specializes in trial work in the area of business and securities litigation. The firm operates from its office in downtown Miami, Florida and is comprised of experienced, sophisticated attorneys who have earned a solid reputation as trial lawyers, strategic problem solvers, and strong negotiators. As a boutique law firm, Carlson & Lewittes is unique in its ability to handle the most complex legal matters, while providing its clients with a level of personalized service that is not often found at larger firms.

Contact information:

V. Michael Arias, 305.372.9700

# # #

Share article on social media or email:

View article via:

Pdf Print

Contact Author

Alec Rosen