Meet the firm.

Franklin I. Ogele

Founding Partner

Mr. Ogele holds degrees in accounting and economics from The State University of New York at Geneseo (1982) and a law degree from Rutgers Law School, Newark (1989). He is admitted to practice law in New York and New Jersey, and before the Federal District Courts for the Southern District of New York and the District of New Jersey.

Mr. Ogele began his financial services career in 1984 as a FINRA examiner. He subsequently became General Counsel and Chief Compliance Officer of ABN Amro Securities (USA) Inc. and ABN Amro Asset Management, Inc., overseeing a variety of investment banking matters. He later joined Santander Investment Securities Inc. (a unit of Grupo Santander) as Legal Counsel and Chief Compliance Officer, and subsequently the law firm of Singer, Zamansky, Ogele and Selengut LLP as the Broker-Dealer Partner. He also served as Associate General Counsel and Chief Compliance Officer for All-Tech Direct, Inc. — an early pioneer of electronic day trading and operator of the ATTAIN ECN — and for Domestic Securities, Inc.

Mr. Ogele has represented corporate issuers, broker-dealers, and registered representatives before the SEC, FINRA, NYSE, the New York Federal Reserve Board, and various state regulatory agencies, both as counsel in SEC registration filings and as defense counsel in FINRA arbitration cases and civil litigation in federal and state courts. He was counsel in In the Matter of On-Site Trading, Inc. (March 17, 1998, FINRA Rule Interpretation), which aided the growth of the direct-access electronic trading industry by establishing the concept of Order Entry and Account Access Centers — allowing direct-access trading firms to establish limited branch operations without the time-consuming process of obtaining prior regulatory approval.

Series 7 · 24 · 27 · 63 · 79 · 99