Joseph M. Pastore III is a Member and Managing Partner of Pastore & Dailey LLC.
Mr. Pastore focuses his practice on the financial services and technology industries. He represents major multinational companies in state and federal courts, as well as before self-regulatory organizations, such as FINRA and the NYSE, and state utility boards and federal agencies, such as the SEC and the FCC.
He has been consistently named as a leading attorney for financial services companies, including the securities, banking and insurance industries on securities matters. He represents major securities industry companies, including internationally significant brokerage firms, broker dealers, advisory firms, specialists firms, proprietary trading firms, transfer agents and derivative brokers. Mr. Pastore also represents large and small hedge and venture funds and RIAs, and provides counsel on all aspects of private equity investment. He has also handled several of the largest FINRA arbitrations ever held before that body. He was counsel in the recent national seminal securities investigations including the national SPAC Investigation, the recent national CDS investigation and an investigation concerning the largest IPO in US History.
On banking issues, Mr. Pastore has handled regulatory and litigation disputes for the nation’s largest mortgage lenders and defended and prosecuted major matters concerning bank conversions. On insurance matters, Mr. Pastore has handled major reinsurance arbitrations and litigations including matters filed in foreign jurisdictions hosting captive reinsurance companies. He is also recognized for his representation of many technology companies. He regularly represents large technology and telecommunications companies, including many Internet, satellite, computer software, networking, voice and data companies, and start-up ventures. He has also served as lead counsel in New York and Connecticut for Fortune 500 corporations in several national class action litigations.
Mr. Pastore also has extensive experience negotiating commercial agreements, including venture capital term sheets, private equity term sheets, technology license agreements, partnership agreements, joint venture agreements, merger agreements, executive employment and compensation plans and limited liability company agreements.
He has published several articles concerning securities law, technology and corporate governance in the New York Law Journal, the Los Angeles Daily Journal, the Connecticut Law Tribune and the Practicing Law Institute. He has ranked AV Preeminent for 15 years in a row, the highest ranking available for attorneys. He has been named a Super Lawyer for Metro New York, and New England on several occasions. A corporate magazine has named him “Attorney of the Year” for 2017 for the state of Connecticut.
Mr. Pastore serves on boards for Bucknell University and for The Northern Westchester Hospital. He is a member of the Bars of the State of New York and the State of Connecticut. He has also served on the Corporate Bar Association of Westchester and Fairfield Counties, where he had served as co-chairman of the commercial and business section. He is presently on the Board of Visitors for his law school.
Mr. Pastore received his B.A., cum laude, from Bucknell University in 1988. He received his J.D. degree, cum laude, from Pace University in 1991. Mr. Pastore is admitted to practice law in Connecticut, New York, the U.S. District Court for the District of Connecticut, the U.S. District Court for the Southern District of New York, the U.S. District Court for the Eastern District of New York and the U.S. Court of Appeals for the Second Circuit.
Bucknell University, 1988, B.A. cum laude
Pace University School of Law, 1991, J.D. cum laude
Connecticut and New York
District of Connecticut
Southern District of New York
Eastern District of New York
Western District of New York
United States Court of Appeals for the Federal Circuit, First Circuit, and Second Circuit
"Brokers and Advisers Beware: Taking Customer Information Could Get You Fined and Suspended," Securities Industry Alert (April 2011)
"New FINRA Rule: Customers May Now Opt for Three Non-Industry Panelists in FINRA Arbitrations." Securities Industry Alert (February 2011)
"Proposed FINRA Rule Impacts Private Placements," Securities Industry Alert (February 2011)
"SEC Adopts New Rule Preventing Unfiltered Market Access," Securities Industry Alert (November 2010)
"Advisors: Beware of the “Switch” From SEC Oversight to State Regulation," Securities Industry Alert (September 2010)
"Broker Beware: New FINRA Guidance Suggests Renewed Regulatory Focus on Broker-Dealers Involved in Regulation D Offerings," Securities Industry and Tech & Venture Finance Practice Alert (May 2010)
"FINRA Opens Up Brokers' Closets Even Further ... and for Longer," Securities Industry Alert (July 2010)
"The Dodd-Frank Wall Street Reform and Consumer Protection Act," Securities Industry Alert (July 2010)
"FINRA's Guidance on Social Media Web Sites," Securities Industry Practice Alert (January 2010)
"FINRA's Enforcement Process Steps Up in 2010," (January 2010)
"Some Thoughts for Your Annual Compliance Review: Red Flags and AML Procedures," Securities Industry Practice Alert (January 2010)
"Series LLCs and Their Use in the Securities Industry," Securities Industry Practice Alert (January 2010)
"New Disclosure Rules: More Regulation for Registered Representatives" Securities Industry Practice Alert (September 2009)
"SEC Enforcement Staff Gains Subpoena Power (and Other Evolutions in the Division's Authority and Responsiveness)," Securities Industry Alert (August 2009)
"Raising International Regulatory Standards and Cooperation in Troubled Times," Securities Industry Alert (July 2009)
"The FRR Report Proposes a Resolution Regime to Aid Failing Firms," Securities Industry Alert (July 9, 2009)
"FRR Report Proposes Three New Regulatory Agencies," Securities Industry Alert (July 2009)
"FRR Would Decrease Reliance on CRAs and Increase Systemic Safeguards," Securities Industry Practice Group Alert (July 2009)
"The Formation of a New Consumer Financial Protection Agency," Securities Industry Alert (July 2009)
"SEC Proposes Amendments to Investment Advisers Act," Securities Industry Alert (June 2009)
Treasury Faces Major Legal Roadblocks on Recycling TARP Funds," SNL Financial (April 23, 2009)
Speaker, "Big Boy" Letters, Side Letters and Other Variations on Alternative Investments, Second Annual Hedge Fund General Counsel Summit: Industry Insight in Uncertain Times, Stamford, CT (September 25, 2008)
"A Rapidly Evolving Process,"Practicing Law Institute Corporate Law and Practice Course Handbook Series (August 2004)
"How To Better Position Your Arbitration Strategy So As To Prevail on Post-Arbitration Challenges in the Courts," Securities Arbitration 2004
"Arbitrability of Copyright Disputes in the Securities Industry," New York Law Journal (July 18, 1997)
American Lawyer's , Top Rated Attorney for Litigation, Employment and Appellate Law 2014
American Lawyers' Top Rated Attorney in 2015 for Litigation, Commercial Litigation, and Labor and Employment
America’s Most Honored Professionals 2015 and 2016 - Top 1%
Boston Top Rated Lawyer for Appellate Law and Litigation 2015
Martindale-Hubbell Top Rated AV Preeminent® Lawyer 2017-2018
Martindale-Hubbell Top Rated AV Preeminent® Lawyer for Litigation, 2008-2017
Martindale-Hubbell Top Rated Lawyer for Labor and Employment, 2015
Martindale-Hubbell Top Rated AV Preeminent® Lawyer for Appellate Law, 2013-2017
Martindale-Hubblell Top Rated Lawyer in Boston, 2015
Martindale-Hubbell Top Rated AV Preeminent® Attorney for The New York Metro Area, 2015-2017
Martindale-Hubblell Top Rated Lawyer in Connecticut, 2013-2017
Member of Rue Ratings' Best Attorneys of America 2015
New England Super Lawyers, 2009-2011
New York Metro Super Lawyers, 2012- 2016
New York Top Rated Lawyers for 2017
Super Lawyers 2014 Business Edition
Westport Magazine and New Canaan-Darien Magazine - Top Lawyers in Fairfield County, CT - Insurance, Securities and Technology and Science, 2010
Member of the PACE Law School Board of Visitors
American Bar Association
Corporate Bar Association of Westchester and Fairfield Counties - Commercial and Business Section
Former co-chairman, Bucknell University Fundraising Committee
The Northern Westchester Hospital, Fundraising Committee
The Bucknell University Public Policy Advisory Board