James A. Nofi represents customers in securities arbitrations, brokers in employment disputes and arbitrations, and brokers, brokerage firms, and investment advisers in regulatory investigations and proceedings.  Before relocating to Atlanta, he practiced law in New York in the areas of securities regulation, enforcement, and civil litigation for 20 years, including 12 years at the Division of Enforcement of the New York Stock Exchange, Inc., rising to the level of Trial Counsel.

With extensive experience in conducting securities industry investigations and prosecutions, including appeals, Mr. Nofi is knowledgeable about broker/dealer compliance issues in the areas of sales practice (unauthorized, unsuitable, and excessive trading), financial/operational areas (net capital and customer protection), and trading matters (market maintenance, market manipulation, and other trading violations).  Mr. Nofi also served as lead counsel in an Exchange disciplinary matter in which, for the first time, the sanctions required a non-publicly traded broker-dealer to add an independent director to its board.  He is a co-author of The Enforcement Role of the New York Stock Exchange, 85 NW.U.L.REV. 637 (Spring 1991).

Mr. Nofi has represented customers pursuing arbitration claims involving, among other things, unsuitable investments, churning, variable annuities, fraud, misrepresentations, the submission of forged documents, and claims under ERISA.  He has represented clients in matters before the SEC, the NASD, and the Securities Division of the Secretary of State of Georgia.  He has written and lectured on various topics of securities regulation.  In September 2006, Mr. Nofi was a member of a Labor and Employment Law delegation to China through the People to People Ambassadors Program.

Mr. Nofi is a member of the American Bar Association and its Litigation Section, where he is a member of the Securities Regulation, Trial Practice, and Trial Evidence subcommittees.  He is also a member of the New York State Bar Association, the New York City Bar Association, and the Securities Industry and Financial Markets Association Compliance and Legal Division.

Born in Brooklyn, New York, Mr. Nofi graduated from New York University Washington Square and University College of Arts and Science with a B.A. in history, cum laude, in 1978.  He received his J.D. degree from New York University School of Law in 1981 and was admitted to the bar in New York in 1982.  He was admitted to the bars of the United States District Courts for the Southern, Eastern, Northern, and Western Districts of New York, and the United States Court of Appeals for the Second Circuit.  Mr. Nofi was admitted to the bar in Georgia and to the United States District Court for the Northern District of Georgia in 2004.