Partner

551 Fifth Avenue,
21st Floor
New York, NY 10176
Phone: 212.573.6660
Fax: 212.573.6662
rgeffner@sglawyers.com

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Ron S. Geffner is a member of the firm’s Executive Committee and also oversees the Financial Services Group. He regularly structures, organizes and counsels private investment vehicles, investment advisory organizations, broker-dealers, commodity pool operators and other investment fiduciaries. Mr. Geffner also routinely counsels clients in connection with regulatory investigations and actions. His broad background with federal and state securities laws and the rules, regulations and customary practices of the SEC, Financial Industry Regulatory Authority, Commodities Futures Trading Commission and various other regulatory bodies enables him to provide strategic guidance to a diverse clientele. He provides legal services to hundreds of hedge funds, private equity funds and venture capital funds organized in the United States and offshore.

Mr. Geffner began his legal career with the SEC, where he investigated and prosecuted violations of the federal securities laws with an emphasis on enforcement in connection with violations of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. He also assisted federal and state criminal agencies, such as the Federal Bureau of Investigation, U.S. Attorney’s Office, and the Attorney General’s Office, in their investigations of possible criminal violations of federal and state securities laws.

Prior to joining Sadis & Goldberg, Mr. Geffner was associated with two other New York City-based law firms, where he represented domestic and offshore private investment vehicles, as well as broker-dealers, registered investment advisers, and registered investment companies.

He began his corporate legal career as in-house counsel to the Investment Management Industry Services Group of PricewaterhouseCoopers LLP. He provided legal advice regarding investment advisers, registered investment companies and broker-dealers.

Mr. Geffner is often interviewed as a legal expert in the securities industry. He has been interviewed on Fox News, CBS Morning Show, CBS Evening News with Dan Rather, Squawk Box, Power Lunch and Closing Bell on CNBC, British Broadcasting Channel, and Bloomberg Radio. He is regularly quoted in The New York Times, The Wall Street Journal, Bloomberg News, Barron’s, Barron’s Online, Reuters, Dow Jones, Financial Times, New York Newsday, London Daily News, TheStreet.com, Private Equity Week and other national and international publications.

Education

  • Benjamin N. Cardozo School of Law (J.D. 1991)
  • Rutgers University (B.A. 1988)

Admitted

  • New York
  • New Jersey

Memberships and Affiliations

  • Board of Directors, Hedge Fund Association Ltd., 2008 – 2015
  • Vice President, Hedge Fund Association Ltd., 2010 – 2015
  • Young President Organization, 2010 – 2015

Honors and Awards

“Who’s Who Among Executives and Professionals Throughout the World,” Legal Industry, Madison Who’s Who, 2010
“Presidential Who’s Who: The Presidential Registry,” 2009
“Who’s Who Legal: The International Who’s Who of Private Funds Lawyers,” Law Business Research Ltd., 2008 – 2016
“Who’s Who Legal: The International Who’s Who of Business Lawyers,” Law Business Research Ltd., 2008, 2009, 2010, 2011, 2012, 2013
“US (New York) – Best Private Funds/Hedge Funds Lawyer of the Year,” ACQ Law Awards, 2013
“2008 Guide to the World’s Leading Investment Funds Lawyers,” Legal Media Group, in association with the International Financial Law Review, 2008


Practice Areas

Financial Services

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