Amit Sondhi Amit Sondhi focuses his practice primarily on securities-related matters, which ranges from advising broker-dealers, proprietary trading firms, and individual financial professionals on regulatory compliance issues before the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Chicago Board Option Exchange (CBOE), and Chicago Mercantile Exchange (CME), to representing individuals and financial institutions in investigations by the SEC or Department of Justice. Amit currently serves as outside general counsel to two proprietary trading firms, one of which is a registered broker/dealer with the SEC.
Amit measures his advocacy and success by the results achieved under trying circumstances. For example, one of Amit's most rewarding days as an attorney was when he convinced a self-regulatory organization to re-admit his client as an associated person of a member firm despite a high-profile statutory disqualification. More recently, Amit authored a sentencing memorandum on behalf of a client facing a potential of over seven years in prison under the Sentencing Guidelines; the federal judge departed from the Sentencing Guidelines and imposed a sentence which did not include any incarceration.
Prior to joining Mintz & Gold LLP, Amit was a partner at the law firm of Sorkin & Sondhi LLP, which he co-founded with his mentor, Ike Sorkin (who is now also at Mintz & Gold). Amit was also an associate at Lowenstein Sandler for seven years.
- Spearheaded the re-structuring of two proprietary-trading firms such that both firms
could garner member rates on the CME with only one set of memberships; coordinated securing regulatory approvals from CBOE, CME, and FINRA
- Successfully represented two Swiss hedge funds in an insider trading action brought by the SEC in the Southern District of New York
- Negotiated a favorable resolution of an administrative proceeding filed by the SEC against the former CEO of a retail broker-dealer
- Successfully represented a portfolio manager at a major hedge fund in parallel insider trading investigations by the SEC and DOJ
Current Ongoing Engagements
- Representing a proprietary trading firm in connection with launching and/or acquiring a clearing firm
- Representing the CEO of a major electrical company in a construction-fraud investigation by the DOJ
- Representing a medical professional in an IRS tax audit
- White Collar Defense
- Broker-Dealer/Futures Regulatory Compliance & Advice
- Civil Litigation
- Self-Regulatory Investigations & Litigation Defense
- Boston University School of Law (J.D. , 2009)
- Villanova University (B.A., 2006), cum laude)