Stephanie G. Senzer

Ms. Senzer is a Senior Associate in Lehman & Eilen LLP’s Securities and Corporate Finance, Securities and Business Law practice group.  She has and worked closely with Bob E. Lehman, one of the Firm’s founding partners and a leading securities law expert, since Lehman & Eilen LLP’s inception in 1994.  Prior to joining Lehman & Eilen LLP Ms. Senzer was a corporate associate with a major New York City law firm.

Ms. Senzer advises the Firm’s diversified client base which includes a broad range of financial market participants including securities broker-dealers, investment advisers, hedge funds and commodity trading advisers.  She also counsels the Firm’s general corporate clients including closely held corporations, limited liability companies and limited partnerships on general corporate-law matters as well as business sales and acquisitions.

Ms. Senzer’s work for broker-dealer and investment adviser clients includes general compliance, regulatory and legal matters arising under both federal and state securities laws, and the rules of self-regulatory organizations such as the NASD, as well as stock exchanges including the NYSE and the AMEX.

Ms. Senzer advises the Firm’s broker-dealer clients on compliance and transaction-related matters including: all phases of the initial organization and licensing process;  preparation and filing of NASD continuing membership applications; preparation of supervisory and compliance procedures; review and negotiation of clearing agreements; preparation and dissemination of advertising materials and research reports; book and recordkeeping responsibilities; soft-dollar arrangements; net capital issues; and continuing-education compliance.  She provides counsel in connection with NASD examinations, deficiency letters and administrative actions.  Ms. Senzer is also called upon to advise the Firm’s broker-dealer clients on transactional matters including mergers, acquisitions, successions and reorganizations.

For the Firm’s investment adviser clients Ms. Senzer offers broad expertise on a range of securities and corporate law issues including: initial organization and licensing with the SEC and state securities authorities; legal issues arising under the Investment Advisers Act of 1940 and state securities laws; preparation and review of applications on Form ADV, investment advisory agreements and cash solicitor agreements; preparation of compliance manuals and codes of ethics; custody matters; and trade allocation issues.  She also represents the Firm’s advisory clients in connection with SEC and state examinations, deficiency letters and administrative actions.

Ms. Senzer assists the Firm’s hedge fund clients with an array of matters arising under state and federal securities laws including the review and preparation of private offering memorandums, limited partnership agreements, subscription materials and federal and state exemption filings.  Ms. Senzer also counsels the Firm’s commodity-market clients on compliance and regulatory issues arising under the Commodity Exchange Act and the rules of the National Futures Association.

Ms. Senzer received her Juris Doctor from Brooklyn Law School in 1989 where she was a Dean’s Merit Scholar.  She is the recipient of an American Jurisprudence Award for Property and the Henrietta and Stuart Hirschman Prize for Excellence in Real Property.  She received her Bachelor of Arts Degree from the State University of New York at Binghamton from which she graduated with honors in 1986.