Mr. Goldstein specializes in the formation and ongoing representation of private investment funds, including hedge funds, private equity funds and similarly-managed investment vehicles. He represents domestic and off-shore funds and their sponsors in connection with fund formation and structuring, private placements, operational and regulatory matters. Mr. Goldstein's practice includes the representation of broker-dealers, investment advisers, commodity pool operators and commodity trading advisors in connection with their formation and operations. He also has an extensive enforcement background and represents regulated and unregulated clients in enforcement and regulatory investigations and litigation before the Securities and Exchange Commission and various self-regulatory organizations. In addition to his private fund practice, Mr. Goldstein represents both start-up and established businesses in the capital formation process. Mr. Goldstein is resident in our East Hampton, New York office, where he represents clients in real estate transactional matters and in land use applications before local zoning and planning boards.
Before entering private practice, Mr. Goldstein was an attorney in the SEC's Division of Enforcement in a succession of positions with increasing responsibilities that culminated in his service as Associate Regional Administrator of the SEC's New York Regional Office. During that tenure, he had oversight of the enforcement program of the New York Regional Office. While at the SEC, Mr. Goldstein litigated the SEC's first enforcement matters involving repurchase agreements and stock loans, and initiated an SEC enforcement program in the pink sheet over-the-counter market. At the SEC, in private practice and public service, Mr. Goldstein has had continuous hands-on experience in the enforcement processes that extend to both the investigative and litigation phases of such matters.
Mr. Goldstein served as the Chairman of the Zoning Board of Appeals of the Village of East Hampton, New York from 2000 to 2013. He is a founding board member of the East Hampton Healthcare Foundation, on the board of environmental watchdog organization, The Group for the East End, and a Trustee of The East Hampton Village Preservation Society.
Mr. Goldstein earned his law degree from Brooklyn Law School, where he was a member of the Law Review. He earned Bachelor and Master of Arts degrees in History from Adelphi University.
Peer Review Rating
AV Preeminent Rated by Martindale-Hubbell
News & Publications
•SEC Adopts New Rules to Facilitate Securities Offerings By Emerging Growth Companies and Smaller Reporting Companies
02/01/2016
•Fund Formation & Investment Management Alert - SEC Staff Permits Sponsors to Operate Online Platforms That Facilitate Investments In Early Stage Companies Without Registration As A Broker-Dealer
05/01/2013
•Fund Formation & Investment Management Alert - Private Fund Manager Developments
07/01/2011
•Fund Formation & Investment Management Group Alert - President Signs Financial Reform Legislation Into Law
07/01/2010
•Securities Law Alert - SEC Staff Declines to Permit a Finder in a Securities Offering to Receive Transaction-Based Compensation Without Being Registered as a Broker-Dealer
06/01/2010
•Securities Law Alert - U.S. Securities & Exchange Commission Amends Custody Rule
02/01/2010
