Top ContributorAward 2015David Nicholas Ferri
David Nicholas FerriReviewsout of 3 reviews

David N. Ferri, Esq.

David has a unique perspective when it comes to representing your interests. He has worked on both Wall Street and Main Street, as a licensed investment professional and as an attorney.

Consulting

As an attorney, David has consulted clients in Corporate, Commercial, and Securities Law. This includes everything from formation of your company, how to best raise capital to get it off the ground, how to prepare contracts and shareholder agreements. Fast forward to advising private & public companies on issues ranging from; Restructuring, Shareholder disputes, Private Offerings, Public Offerings, Mergers & Acquisitions, Rule 144 Opinions, and 10b-5 transactions.

Litigation

David has represented clients in the areas of litigation, including: breach of contract, property management agreements, fraud, improper business formation, the sale of a business, and in and securities related litigation in FINRA arbitrations. He currently represent clients with respect to their investments in stocks, mutual funds, bonds, options, REG-D private placements, margin agreements, and several other financial instruments.

History

For the past 20 years David has worked in finance, trading, and banking. He was recently the Managing Director of Investments at an Investment Bank based in New York City. In his career as a finance professional David has been involved in managing an institutional trading desk (equities), handled various banking transactions including up-listing, initial public offerings and market making activities for OTC, NASDAQ and NYSE listed companies including 15-c 211 filings.

David has been intimately involved in investment and asset management of clients which have included retail, insurance companies, hedge funds and private equity investors. He’s also been responsible for supervising investment advisors, traders, and registered representatives. Additionally, he has consulted and represented investors in syndicated real estate transactions including REITs, TICs, and 1031 Exchanges.

Additionally, he is a FINRA Dispute Resolution Arbitrator and holds several securities licenses. In addition to finance, David is actively involved in real estate developing, construction, entitlements, and land use.

David is a member of the State Bar of California and the District of Columbia (DC) Bar. He currently works with, and advises, the board of directors of companies listed on the NYSE, NASDAQ and OTC Market(s).

Certifications (Past & Present)

  • Member / Attorney, District of Columbia Bar -1601629
  • Member / Attorney, State Bar of California – 294803
  • Admitted, United States District Court -Central District of California
  • Admitted, United States District Court -Southern District of California
  • Member, Los Angeles County Bar Association
  • Member, Beverly Hills Bar Association
  • Member, American Bar Association
  • Member, Consumer Attorney’s Association of Los Angeles (CAALA)

NYSE/FINRA License(s)

  • FINRA Series 7 (General Securities representative),
  • FINRA Series 24 (Registered Principal),
  • NASDAQ / NYSE: Series 55 (Equity Trader),
  • SEC Registered Investment Advisor Representative (Series 65)
  • NASAA Uniform State Agent License (Series 63)
  • Operations Professional (Series 99)

Additional

  • Certified Estate & Trust Specialist – CES
  • Florida Certified Building Contractor
  • Florida Life, Health and Variable Insurance License (2-15)
  • Florida Notary Public
  • Florida Real Estate Broker License
  • Florida Mortgage Broker License

Contact Us

Free Consultation
(866) 975-8723

    Client Reviews

    He took his time and really worked with us to make sure we were informed.

    David helped explain how I needed to create and start my company from formation to getting investors. He took his time and really worked with us to make sure we were informed. He also stressed we get it right on the first go around as changing important issues later could be costly.

    Lydia

    West Legal Group PC
    5
    2020-10-28T15:12:36-04:00

    Lydia

    David helped explain how I needed to create and start my company from formation to getting investors. He took his time and really worked with us to make sure we were informed. He also stressed we get it right on the first go around as changing important issues later could be costly.

    Their work pays close attention to the importance of having everyone on the same page and having the client in charge and fully informed.

    David and Tim have been retained by me for one year to negotiate significant domestic and international settlements, and they have shown and used when doing so the requisite skills which have moved settlements toward favorable results. They are at their best when preparing and evaluating cases, when using appropriate tactics, when using countermeasures, when making first offers, when in direct examinations, cross examinations, and when in the examination of expert witnesses. Their writing is marked by being direct and precise, by blending precision with simplicity. David and Tim are particularly sensitive to complex moral situations, where no rule of thumb applies, no simple appeal to a single principle can assure a rational outcome. In such an instance they can be counted on to sort out the conflicting factors to determine what law, rule, or principle bears upon the situation, and what are the relative urgencies which govern a timely action. David and Tim command a family of intellectual traits and abilities which allows them to cope with the unexpected, grasp relations, and solve problems with speed and originality. Especially pronounced among their intellectual traits is their ability to create a congenial, professional relationship with their clients wherein written reports are delivered without fail on a designate date to a designated site to coincide with or be separate from timely discussions. Their work pays close attention to the importance of having everyone on the same page and having the client in charge and fully informed. I am a retired California State Senator who has hired and dealt with a number of skilled attorneys at law in the private and public sector. I have place David and Tim among the best of them and have in writing this statement measured them against this lot.

    Daniel

    West Legal Group PC
    5
    2020-12-02T12:29:31-05:00

    Daniel

    David and Tim have been retained by me for one year to negotiate significant domestic and international settlements, and they have shown and used when doing so the requisite skills which have moved settlements toward favorable results. They are at their best when preparing and evaluating cases, when using appropriate tactics, when using countermeasures, when making first offers, when in direct examinations, cross examinations, and when in the examination of expert witnesses. Their writing is marked by being direct and precise, by blending precision with simplicity. David and Tim are particularly sensitive to complex moral situations, where no rule of thumb applies, no simple appeal to a single principle can assure a rational outcome. In such an instance they can be counted on to sort out the conflicting factors to determine what law, rule, or principle bears upon the situation, and what are the relative urgencies which govern a timely action. David and Tim command a family of intellectual traits and abilities which allows them to cope with the unexpected, grasp relations, and solve problems with speed and originality. Especially pronounced among their intellectual traits is their ability to create a congenial, professional relationship with their clients wherein written reports are delivered without fail on a designate date to a designated site to coincide with or be separate from timely discussions. Their work pays close attention to the importance of having everyone on the same page and having the client in charge and fully informed. I am a retired California State Senator who has hired and dealt with a number of skilled attorneys at law in the private and public sector. I have place David and Tim among the best of them and have in writing this statement measured them against this lot.

    We were told if David couldn’t understand these investments no one could. They were right.

    Our office brought David in to help with investment related problems associated with a large client. He was referred to us by another attorney in San Diego. We were told if David couldn’t understand these investments no one could. They were right. He met with us and took his time explaining the best way to handle. The client ended up hiring his firm also. We will be using him again.

    Roger

    West Legal Group PC
    5
    2020-10-28T15:12:11-04:00

    Roger

    Our office brought David in to help with investment related problems associated with a large client. He was referred to us by another attorney in San Diego. We were told if David couldn’t understand these investments no one could. They were right. He met with us and took his time explaining the best way to handle. The client ended up hiring his firm also. We will be using him again.

    David helped my family recover against the firm and they settled before court date.

    A broker had placed my mother's retirement savings in several high risk investments that lost value almost immediately. We weren't aware of these investments until after she passed away. David helped my family recover against the firm and they settled before court date.

    Dennis

    West Legal Group PC
    5
    2020-12-02T12:29:57-05:00

    Dennis

    A broker had placed my mother's retirement savings in several high risk investments that lost value almost immediately. We weren't aware of these investments until after she passed away. David helped my family recover against the firm and they settled before court date.
    5
    4
    West Legal Group PC

    Offices

    1800 Century Park East, Suite 600
    Los Angeles, CA 90067

    1455 Pennsylvania Ave NW, Suite 400
    Washington, DC 20004

    Contact Us

    • Serving Clients Nationwide in Securities Arbitration

    • Free Consultation

    • Effective Case Management

    Fill out the contact form or call us at (866) 975-TRADE (8723) to schedule your free consultation.