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Anthony C. Varbero is a partner in the New York Hub of Quintairos, Prieto, Wood & Boyer, P.A., and Managing Partner of the firm's Securities Litigation and Regulatory group. 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.
In addition to his securities practice, Mr. Varbero is actively practices in the merchant cash advance (MCA) industry, where he has litigated federal cases involving the FTC, SEC, U.S. Attorney’s Office, and various State Attorney General’s offices. His MCA work includes drafting and structuring MCA agreements and advising on the reporting and compliance processes related to merchant transactions executed by funders.
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:
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.
