Richard Szuch

Richard is an experienced trial lawyer who has worked in the financial services arena for decades. Richard provides strategic counsel to regional and national investment advisers, broker dealers, banks and insurance companies regarding risk management, regulatory obligations, internal investigations and litigation/arbitration/regulatory defense. He co-leads Stevens & Lee’s Senior Investor Compliance Services Team, which focuses on providing firms with key guidance’s to help their investors confront exploitation and scams.

Richard joined Stevens & Lee after serving four years as the Enforcement Chief for the New Jersey Bureau of Securities. While there, he oversaw hundreds of investigations involving offering fraud, misuse of funds, fee disclosures, point of sale disclosure, suitability/Regulation Best Interest, digital assets and senior exploitation, among others, and acted as the Enforcement Unit’s lead interrogator. On a national scale, he participated in multi-state securities fraud investigations and collaborated with federal and state criminal and regulatory agencies to investigate and prosecute widespread frauds that impacted investor confidence and the securities markets.

Richard chaired the Senior Issues Committee for the North American Securities Administrators Association. While there, he worked to build bridges among all stakeholders regarding policy, process and execution in the senior investor space.

Over the years, Richard has defended hundreds of witnesses called to give testimony before the SEC, FINRA and state regulators, and he frequently lectures about his work experience, the financial markets and industry issues at the SEC, FINRA, NASAA, NSCP, SIFMA and similar conferences.

3e. BD/IA LAB – Protecting Senior/Vulnerable Investors (Intermediate)