LawFuel.com – (July 10, 2012, New York City) – Kaufman Dolowich Voluck & Gonzo LLP (KDVG), a leading national law firm, today announced the addition of Kevin T. Duffy, Jr., as a partner in its New York office. Mr. Duffy is a member of KDVG’s Financial Services Practice, effective immediately.
“Kevin brings a wealth of experience to our Financial Services group,” said Ivan Dolowich, a senior partner and Chair of the Insurance Practice at KDVG. “His long record of successful FINRA arbitrations and his strong connections to Connecticut’s Gold Coast make his practice a great addition to our financial institutions team. We are delighted to welcome Kevin to the firm.”
Mr. Duffy was formerly co-founder and a name partner at Duffy & Staab in White Plains, where he represented clients in securities litigation, including prosecuting and defending actions on behalf of registered entities and individuals, formed and registered investment advisors acting as hedge fund and private equity fund managers, represented clients in SEC and FINRA investigations, and enforcement matters and parallel criminal matters, and represented broker-dealers, hedge funds and private equity investment advisors in negotiations with potential investors.
Mr. Duffy also maintained a compliance consulting practice at Kinetic Partners in New York City over the past year, where his role was providing registration and continuing compliance services for hedge fund and private equity fund managers, as well as outside AML reviews for broker-dealers and investment banks. Additional consulting responsibilities included drafting and updating compliance manuals and codes of ethics to comply with the Dodd-Frank financial reform law.
“KDVG has an exceptional platform upon which to build a true hedge and private equity fund practice,” said Mr. Duffy. “In addition KDVG has a large client base that can truly benefit from my experience and perspectives as both an in-house and outside counsel in complex financial services arbitrations.”
Mr. Duffy has tried more than 50 arbitrations to award, and represented clients in hundreds of complex financial matters. He plans to significantly bolster KDVG’s hedge fund, private equity and mutual fund investor services at KDVG, with an emphasis on providing compliance and financial services regulatory and enforcement consulting, as well as litigation support. His practice at the firm will focus on FINRA arbitrations and representing private funds, including assisting funds of $100 million or more file the newly required Form PF with the SEC. Mr. Duffy’s previous work in compliance, financial services regulation and arbitration provides a strong background for building such a practice at KDVG.
From 2006 to 2008, Mr. Duffy was Chief Compliance Officer and General Counsel at Forest Investment Management, LLC, in Old Greenwich, CT. Prior to that he was a Senior Compliance Analyst at General Electric Asset Management, Inc., in Stamford, CT; and, before that, he was Vice President and Compliance Manager and Vice President and Senior Counsel at Merrill Lynch & Company in New York City.
From 1994 to 1998, Mr. Duffy was a Senior Attorney in the Division of Enforcement at the U.S. Securities & Exchange Commission in New York City, where he handled a number of high profile cases, including the successful prosecution of a participant in one of the largest pre-Madoff Ponzi schemes in the U.S. Mr. Duffy was also previously a panel member for the New York Stock Exchange Disciplinary Board.
A 1991 graduate of Fordham University School of Law, he clerked for the Honorable Stanley Sporkin of the U.S. District Court for the District of Columbia following graduation. From 1994 to 2004, Mr. Duffy was an adjunct professor in the School of Continuing Education-Degree Studies Division, teaching finance and economics courses.
He is currently President-elect of the Federal Bar Association of the District of Connecticut.
About Kaufman Dolowich Voluck & Gonzo LLP
Kaufman Dolowich Voluck & Gonzo LLP (KDVG) is a national law firm serving the insurance and business communities in a number of practice areas. The firm’s seasoned litigators and legal practitioners place clients first, think like business people, and provide our clients with viable and innovative solutions that offer them the best resolution possible. Headquartered in Woodbury, New York (Long Island), KDVG serves its global clientele with additional offices in New York City, New Jersey, Pennsylvania, San Francisco, Los Angeles, and Florida. For more information on KDVG’s practice areas, attorneys, and ability to assist you with your legal matters, please visit www.kdvglaw.com.