GENE L. SMALL

Gene Small is a seasoned commercial litigator with over 30 years of civil and criminal trial experience. Gene's practice focuses on broker-dealer related securities litigation. Gene defends financial services firms, with particular emphasis on securities broker-dealers, financial advisors, branch managers, compliance professionals, private bankers and clearing firms.  Gene had a 20-year career on Wall Street as both a lawyer and branch manager for some of the nation’s top brokerage firms, including Shearson Lehman Brothers, Oppenheimer & Co. and Bear Stearns.  

Gene has substantial experience providing counsel in matters involving all facets of retail brokerage, as well as clearing disputes, employment disputes, regulatory matters and investment banking. Gene previously held various securities licenses including the Series 3, 7, 8, 63 & 65, as well as an insurance license, and has extensive experience handling securities related retail and institutional arbitrations.  Gene has overseen outside counsel nationwide, advised retail branch management and represented brokerage firms, brokers, branch managers, compliance officers and principals in hundreds of cases before all of the self-regulatory organizations such as FINRA, NASD, NYSE, MSRB and PCX, as well as other “neutral” forums such as JAMS and AAA.  Gene has tried over 25 cases before juries in New York County and Kings County Supreme Court and has personally tried over 200 securities arbitrations in more than 30 cities throughout the United States.

Gene was a former Assistant District Attorney in the New York County District Attorney’s Office from 1982 to 1985 and secured over 100 felony indictments and 15 felony convictions after trial during his tenure.  Gene also has significant civil trial experience having tried complex medical malpractice cases while at Bower & Gardner on behalf of major New York City hospitals, in addition to handling several multi-million dollar securities arbitration claims on behalf of some of the largest brokerage firms in the country.  

In 2011, Gene obtained a dismissal after trial of a $10 million dollar FINRA arbitration claim on behalf of Bear Stearns filed by an investor in a Bear Stearns mortgage backed hedge fund.  Stone vs. Bear, Stearns & Co., Inc. et al, FINRA Case No. 08-01185. Gene’s continued representation of Bear Stearns on appeal led to the affirmance of the award in the Eastern District of Pennsylvania and in the United States Court of Appeals for the Third Circuit.  Stone v. Bear, Stearns & Co., Inc., 872 F. Supp. 2d 435, 450 (E.D. Pa. 2012) aff’d, 538 F. App’x 169 (3d Cir. 2013) cert. denied, 134 S. Ct. 2292, 189 L. Ed. 2d 201 (U.S. 2014).

Gene Small attended New England School of Law (J.D. 1982) where he was named best advocate in Moot Court competition, and State University of New York College at Buffalo (B.S. 1976) where he majored in Criminal Justice.  During law school Gene interned with the Massachusetts Public Defender’s Office for two years in its appellate and trial divisions.  Gene’s Professional Admissions include the State of New York, United States District Court for the Eastern District of New York, United States District Court for the Southern District of New York, and United States Court of Appeals for the Second and Third Circuits.