Hugh Dolisca

Associate

Hugh focuses his practice on the representation of clients in the financial services industry, including broker-dealers, investment advisors, financial advisory firms, and banks. He has litigated cases as lead and co-lead counsel in federal and state court. He provides regulatory compliance counseling and defends clients in regulatory investigations and enforcement actions brought by the Financial Industry Regulatory Authority (FINRA), the U.S. Securities & Exchange Commission (SEC), and state securities commissions, as well as arbitrations brought by customers and investors.

Education & Admissions

Education

  • Florida State University

    (B.S., 2009)

  • University of Florida

    (M.B.A., 2018)

  • University of Pittsburgh School of Law

    (J.D., 2012)
    Associate Editor, Journal of Technology Law & Policy

Admissions

  • State of Florida
  • U.S. District Court, Northern District of Florida
  • U.S. District Court, Southern District of Florida

Experience

  • Handled complex securities enforcement and government investigation cases from inception to resolution, as lead and co-counsel, including determining investigation methods, researching legal and factual issues, drafting pleadings, drafting and arguing dispositive motions, taking depositions as well as on-the-record interviews, and managing discovery projects, representing clients in administrative, state and federal district courts, mediations, and settlement negotiations.
  • Drafted detailed opinion letters, memoranda, and advisory notes based on comprehensive legal research and analysis of federal and state rules of civil procedure, evidence, and administrative orders.
  • Experienced with enforcement actions to revoke or suspend registration, impose bars or suspensions from employment and order the payment of civil penalties and disgorgement of ill-gotten gains for a wide range of violations, misappropriation of customer funds, operational issues, misleading advertising, outside business activities, and other violations of state and federal law.
  • Experienced with government contract matters, such as bid protests, debarment and suspension appeals, and contract and procurement fraud actions, as well as fiscal (appropriations and authorization) questions, conflicts of interest, requirements of novation agreements, and Florida Sunshine Law responses.
  • Enforced Florida’s Deceptive and Unfair Trade Practices Act while working as an Assistant Attorney General for the Consumer Protection Division of the Florida Office of the Attorney General.
  • Conducted and managed investigations of possible violations of the Florida Securities Act, FINRA rules, the Securities Exchange Act of 1934, Investment Advisers Act of 1940, and Securities and Exchange Commission rules and regulations while working as an Assistant General Counsel for the Division of Securities of the Florida Office of Financial Regulation.
  • Served as a policy advisor, litigated cases, and handled special projects while working as an Assistant General Counsel for the Office of the General Counsel of the Florida Department of Financial Services.

Involvement

PROFESSIONAL AFFILIATIONS

  • Craig S. Barnard Inn of Court
  • Palm Beach County Bar Association