Anthony C. Varbero
Partner
New York Office
233 Broadway, Suite 2120
New York, New York 10279
Anthony C. Varbero is a partner in the New York Hub of Quintairos, Prieto, Wood & Boyer, P.A., leading the firm's Securities Litigation Division. Mr. Varbero focuses on an array of securities matters in federal and state courts, national arbitration forums such as FINRA Dispute Resolution, the American Arbitration Association, and other arbitration and mediation forums. He possesses a unique understanding of the business, stemming from his many areas of practice, including civil fraud, breach of contract, and a specialty in FINRA and securities arbitrations.
Litigating matters nationwide, Mr. Varbero successfully represents FINRA broker-dealers, financial institutions, private equity firms, registered representatives, officers, directors, customers, claimants, plaintiffs and employees, as well as public and private investors in financial and securities litigation matters. Additionally, Mr. Varbero provides day-to-day legal and business advice relating to compliance with SEC and FINRA rules. The FINRA is the governing body that provides comprehensive oversight for broker-dealers and serves as the first line of defense for its Investors.
Mr. Varbero expertly handles violations of federal and state securities laws, white collar securities crimes, FINRA customer arbitrations involving claims of churning, unauthorized trading, market manipulation, suitability, and negligent supervision; FINRA industry arbitrations involving employment agreements, non-compete covenants, wrongful termination, and tortious interference claims; SEC inquires, investigations, and enforcement actions, federal cases filed in SDNY; and FINRA Department of Enforcement actions; U.S. District Courts, and the U.S. Court of Appeals for the Second Circuit, investigations, disciplinary matters and enforcement proceedings.
Before entering the legal field, Mr. Varbero gained extensive hands-on experience at every level of the broker-dealer industry, from ownership and management to legal, compliance, and sales. He held numerous FINRA licenses including 4, 7, 9, 10, 24, 27, 53, 55, 63, and 65, qualifying him to:
- Purchase and/or sell security products
- Manage registered representatives as it relates to rules and regulations within a broker-dealer environment
- Supervise options sales personnel and compliance issues
- Prepare and manage books and recordkeeping
- Supervise the municipal securities activities of a securities firm or bank dealer
- Trade in stocks and act as an Investment Advisor, with knowledge and experience that extends to trading practices on the New York Stock Exchange & Over-The-Counter markets
These credentials combined with his extensive understanding of the law have resulted in favorable rulings for his clients.
Mr. Varbero is currently pursuing a Doctorate in Finance at Pace University, reinforcing his advanced financial expertise. He earned his Juris Doctor from Brooklyn Law School, an MBA in Management and Finance from Fordham University Graduate School of Business, and a B.S. in Criminal Justice from St. John's University.
Full Admissions and Licenses
State Bar Admissions:
- New York
- Florida
- New Jersey
- Illinois
U.S. District Courts:
- Southern District of New York
- Eastern District of New York
- Southern District of Florida
- Middle District of Florida
- District of New Jersey
- Northern District of Illinois
Appellate Courts:
- Second Circuit Court of Appeals
- Eleventh Circuit Court of Appeals
- Supreme Court of the United States
Professional Affiliations & Accomplishments
- Member, Ben Bay Kiwanis Club
- Former Board Member, Juvenile Diabetes Research Foundation (JDRF)
- Fundraising for Toys for Tots and St. Jude Children's Research Hospital
Publications
- Author, Congress's Use of Agency Power and The U.S. Securities and Exchange Commission (December 1, 2023)