Dick Brodrick is a partner in the firm's Stamford office. He focuses his practice on broker-dealers, mergers and acquisitions, venture capital, public and private securities offerings, investment advisory firms and financial services.
Dick has represented broker-dealers and investment advisors. He has provided legal and compliance services for full-line brokerage firms, investment banking firms, investment companies, investment advisory firms, discount brokers, and many of the largest specialist firms on the New York Stock Exchange (NYSE). He also served as a director of several brokerage firms. His experience includes all facets of "soft dollar" arrangements from the point of views of brokers and money managers, and he has created the documentation for numerous hedge funds and other investment partnerships that specialize in risk arbitrage, convertible bonds and high-yield bonds.
Dick managed the initial public offering and simultaneous listing on the NYSE of two national discount brokerage firms, Quick & Reilly and Waterhouse Securities, and structured and implemented the first leveraged buyout of a major NYSE specialist firm. He also has managed and participated in major arbitration and enforcement actions between members before the National Association of Securities Dealers (NASD) and the NYSE.