Ernest currently represents corporations, limited liability companies, partnerships and financial institutions, such as broker-dealers, investment advisers, private equity and hedge funds, banks and insurance companies, among others. He also counsels and advises officers, directors, executives, registered persons and employees on a wide range of commercial, business, securities, intellectual property, employment, real estate, corporate, pharmaceuticals, partnership disputes, contracts and other business issues and litigation. Ernest also has extensive experience in officer/director regulation and compliance, corporate governance and white-collar criminal law issues. He represents these entities and individuals in internal investigations and commercial disputes involving litigation and alternative dispute forums as well as corporate law matters concentrating in private placements and initial public offerings. Ernest also counsels and advises clients on the creation of broker-dealers, hedge funds and investment advisers as well as compliance and regulatory matters relating to their operations.
Ernest's leadership roles within the firm include:
- Co-chair of the Securities Industry Practice
- Former co-chair of the White Collar Compliance & Defense Practice
Before Fox Rothschild
Prior to joining the firm, Ernest was an SEC enforcement attorney and a partner at a New Jersey/New York area law firm.
Beyond Fox Rothschild
Ernest is an adjunct Assistant Professor of Law at Brooklyn Law School where he teaches a course in securities fraud enforcement. He has been appointed an arbitrator and mediator for The Financial Industry Regulatory Authority, Inc. (formerly, the NASD and NYSE); an arbitrator for the NFA; and an arbitrator and mediator for the New Jersey State Courts.
Ernest is the author of the Encyclopedia of New York Causes of Action, Elements and Defenses (New Jersey Law Journal Books, July 2014), “Chapter 109: The Attorney-Client Privilege and the Work Product Doctrine,” Securities Law Techniques (September 2009) and contributing author for Chapters 1 and 2 of Securities Law Series: Securities Crimes, Vol. 21 (Thomson Reuters/West, November 2009). Ernest has also published articles in the Rutgers Law Review, New York Law Journal, New Jersey Law Journal, The Metropolitan Corporate Counsel, the ABA’s WCC Bulletin and industry publications such as The Registered Rep. Magazine and The Hedge Fund Law Report.
He has moderated and participated in many forums for, among others, the American Bar Association, the New York County Lawyers’ Association, the American Conference Institute, the New Jersey Trial Lawyers’ Association, the Association of Corporate Counsel of America (New York and New Jersey Chapters) and Lorman Educational Services on a wide variety of topics affecting corporations, executives and their employees. He has also been a featured commentator for CNBC, Bloomberg Television News, Bloomberg Radio, KFXN All News Radio, the Los Angeles CBS Radio affiliate and the public television show “Lawline” on a variety of securities enforcement and corporate governance issues. He has also been quoted in various print publications, including, among others, The New York Times, Newsday, New York Post, The Star Ledger, The Record, The Birmingham Daily Record, USA Today, New York Law Journal, CBSMarketwatch.com, Bloomberg.com, Fortune magazine and Foxnews.com.
Ernest previously served as treasurer for the New York County Lawyers’ Association.
Securities Compliance Sentinel Blog
The highly regulated securities and financial industry has a host of complex problems—and financial institutions often find themselves on the receiving end of audits, investigations and other compliance issues. Ernest shares his knowledge and experience to address cutting edge issues in the firm’s Securities Compliance Sentinel Blog. Join this team of bloggers in their exploration of this increasingly complex area.
Desk References (pdf files)
- Private Placement Sales
- Private Equity and Hedge Funds: Regulatory Analysis and Structural Overview
- Primer on Government and Internal Investigations
Practical Advice Piece (pdf file)
Honors & Awards
- Martindale Hubbell "AV" rated
- Included in the list of "Super Lawyers" for Securities Litigation (2013)
- Included in “Super Lawyers Business Edition” in the area of Securities Litigation (2013)
- Included in the list of "New Jersey Super Lawyers" by New Jersey Monthly (2005-2007)
- Included in the list of "Super Lawyers" by New York Super Lawyers and Law & Politics Magazine (2010-2013)
- Selected as a "40 Under 40," by New Jersey Law Journal honoring the top 40 lawyers in New Jersey under the age of 40 (2004)