Anthony W. Djinis

Mr. Djinis is a founding partner of Pickard Djinis and Pisarri LLP.

Mr. Djinis has an expansive range of clients, including broker-dealers, investment advisers, banks, corporations, executives, auditors and hedge funds. He has broad experience representing clients in the United States and internationally regarding securities regulatory and enforcement matters. He regularly represents clients in formal and informal investigations, examinations and reviews by the U.S. Securities and Exchange Commission, FINRA and state securities regulators, as well as criminal investigations by the U.S. Attorneys’ Offices and the FBI. Mr. Djinis has extensive experience serving as defense counsel in SEC administrative proceedings, FINRA disciplinary proceedings, civil litigation in the Federal courts and related appellate litigation. An important part of his practice is counseling clients regarding a wide range of SEC, self-regulatory organizations and state securities regulatory and compliance requirements, designing compliance systems for broker-dealers, investment advisers, banks, and public companies with regard to securities compliance issues and conducting internal investigations. Mr. Djinis has appeared as an expert in federal and state courts, SEC and FINRA administrative proceedings, and arbitration proceedings regarding various securities issues including: broker-dealer registration and licensing requirements; broker-dealer supervision; fair pricing, commissions and markups; manipulation; insider trading; and Regulation FD. Mr. Djinis has also served as a Federal court appointed Receiver.

Practice Areas

• Broker-Dealer Regulatory and Compliance
• Investment Adviser Regulatory and Compliance
• Securities Regulation and Corporate Governance
• SEC, FINRA and State Securities Regulatory Examinations, Investigations, and Enforcement Proceedings
• Broker-Dealer, Investment Adviser Applications and Licensing Proceedings
• Securities Litigation before Federal and State Courts and Related Appellate Proceedings
• Securities Arbitrations
• Internal Investigations

Honors and Awards

Mr. Djinis was selected for admission in Washington D.C. Super Lawyers and named one of the Top 100 Trial Lawyers in D.C. by the American Trial Lawyers Association. He has also earned the Peer Review Rating of AV Preeminent, the highest performance rating in Martindale-Hubbell’s peer review rating system.

SEC Experience

Prior to joining Pickard Djinis and Pisarri, from 1977-1983 Mr. Djinis worked in the Division of Enforcement of the U.S. Securities and Exchange Commission. While at the SEC, Mr. Djinis performed a principal role in many important SEC investigations. Mr. Djinis also had significant experience representing the SEC as trial lawyer in civil injunctive actions brought by the SEC in federal courts and administrative proceedings. His work at the SEC involved a wide spectrum of issues important to the securities industry including: Broker-Dealer Regulation, Capital Formation Processes, Corporate Finance Accounting and Financial Reporting and Tender Offers, Mergers and Acquisitions.

Bar Admissions and Other Memberships

Mr. Djinis is admitted to practice law in the states of New York and Florida and the District of Columbia. He has also been admitted to practice before the Supreme Court of the United States, the United States Court of Appeals, Second and D.C. Circuits, and the Eastern, Northern and Southern Districts of New York and the District of Maryland. Mr. Djinis is a member of the Subcommittee on Market Regulation of the American Bar Association, Section of Business Law and the Association of Securities and Exchange Commission Alumni.

Education

St. John’s University School of Law, J.D. (with honors), 1974

Rensselaer Polytechnic Institute, B.S. – Physics (with honors), 1971

Publications

Co-author: “SEC Civil Injunctive Proceedings,” Chapter 90, Securities Law Techniques, Matthew Bender, 2021

Co-Author, The SEC Administrative Hearing, Chapter 89, Securities Laws Techniques (Matthew Bender).

Co-Author, Attorney Disqualification: Legal, Procedural and Tactical Considerations, (Practising Law Institute Securities Arbitration).

Co-Author, Trading Guide for Institutional Investors, Fidelity Capital Markets.

Co-Author, Annual Updates, Securities Arbitration Practice and Forms, Matthew Bender.

General Editor, Securities Arbitration: Practice and Forms, Matthew Bender.

Co-Author, How to Design a Supervisory and Compliance Program as Required by the Insider Trading and Securities Fraud Enforcement Act of 1988, Prentice Hall Law & Business.

Author, Securities Industry Arbitration: Practice and Procedures, INSIGHTS The Corporate & Securities Advisor, Volume 2, Number 2.

Author, The SEC Administrative Proceeding, Volume 4, Chapter 89 Securities Law Techniques, Matthew Bender.

Co-Author, Insider Trading Rules: Legal Interpretations, TraderForum, Institutional Investor.

Co-Author, SEC Cracks Down on Inflated Broker-Dealer Markups, Volume VII, No. 1, The Legal Times.

Co-Author, SEC’s Regulatory and Enforcement Response to Changes in Corporate Control, ABA Section of Litigation Annual Meeting.

Author, The Paine Webber Case: Continuing the Effort to Define “Tender Offer”, Vol. V, No. 42 The Legal Times, pp. 15, 20-21.

Co-Author, NASD Disciplinary Proceedings: Practice and Procedure, Vol. 37, No. 3 The Business Lawyer, pp. 1213-1246.

Co-Author, Recent Challenges to the SEC’s Investigative and Subpoena Power and Ability to Bring Enforcement Proceeding, Ninth Annual Securities Regulation Institute, University of California at San Diego, Vol. 3.

Co-Author, The Burden of Proof in SEC Administrative and Civil Injunctive Actions: Preponderance v. Clear and Convincing Standards, Ninth Annual Securities Regulation Institute, University of California at San Diego, Vol. 3.