About Richard A. Serafini, Esq
Welcome to Serafini Law Office, LLC. Richard A. Serafini, Esq. is a sole practitioner dedicated to helping clients who find themselves confronted by difficult and complex legal issues. He focuses his practice in the following areas: federal criminal defense, state white collar criminal defense, enforcement defense before the U.S. Securities and Exchange Commission and other federal and state regulatory agencies, securities arbitration, and healthcare enforcement issues.
Over Four Decades of Experience
When you are the focus of a criminal, enforcement, administrative, or civil action by the government, you only have one opportunity to select the best attorney to represent you. The wrong choice could lead to prison, monetary penalties, and loss of professional or business licenses and certifications. In short, government actions place people and businesses in the utmost jeopardy. Additionally, when you are the victim of wrongdoing by a securities broker or a financial advisor, you need someone with experience to provide the best representation possible.
Mr. Serafini has 40 years of experience practicing law. His experience encompasses both private practice and public representation. He has been in the private practice of law in South Florida since 2001. After spending 11 years with large firms, in 2012 Mr. Serafini began Serafini Law Office, LLC.
Before moving into private practice, Mr. Serafini served as a senior litigator in the Criminal Division of the United States Department of Justice in Washington, DC, for 11 years. During his tenure at DOJ Mr. Serafini specialized in fraud and organized crime prosecution. Mr. Serafini joined DOJ after serving as a supervisor in the New York office of the Securities and Exchange Commission. He supervised attorneys assigned to two branches of enforcement.
Thoroughly accomplished in all aspects of federal practice and trial work.
Mr. Serafini is very experienced in practice before the federal courts of the United States. He has handled federal court cases in Florida, New York, the District of Columbia, Georgia, North Carolina, Virginia, Oklahoma, Texas, Utah, Nevada, and California. He is thoroughly accomplished in all aspects of federal practice and trial work. Mr. Serafini has handled a select number of complex state cases.
Additionally, he is experienced in representing clients before administrative agencies such as the SEC and before securities and industry arbitration panels.
Mr. Serafini graduated from the Temple University School of Law, receiving his J.D. in 1979. He graduated from the University of Pennsylvania in 1976 with a B.A.
National and local media outlets often seek comment and analysis on current legal issues from Mr. Serafini. He has either appeared on or has been quoted by the following media outlets:
Television
- CNBC
- CNN
- MSNBC
- NBC
- UPN 33 (Miami)
- WFOR (Miami)
- WTVJ (Miami)
Radio
- Associated Press
- CBS News
- KYW News (Philadelphia)
- NPR (National Public Radio)
- Osgoode Files (CBS News – Quoted)
- SirriusXM “POTUS”
- USA Today News
- WBZ News (Boston)
- WCBS News (New York)
- WIOD News (Miami)
Newspapers
- Associated Press
- Daily Business Review (South Florida)
- Denver Post
- Las Vegas Review Journal
- Los Angeles Times
- Miami Herald
- Minneapolis Star Tribune
- New York Newsday
- New York Times
- San Francisco Chronicle
- South Florida Sun Sentinel (Miami-Fort Lauderdale)
- Wall Street Journal
University of Miami Law Review Symposium on White Collar Crime
- “The Criminalization of Corporate Conduct”
AE Audioeducator (healthcare series)
- “When the Feds Come Knocking: Government Investigations and How to Deal with Them”
Kentucky Sleep Society 11th Annual Sleep Medicine Conference
- Applicability of Stark law and CMS guidelines to sleep medicine
- Recognizing fraud and abuse
- Responding to government investigations
University of Maryland Masters of Business Administration Program
- Securities enforcement
- Professional ethics and law enforcement
Healthcare Fraud
- Nova Southeastern University Masters of Health Law program
- Federal and state investigators in Atlanta, GA
- Federal prosecutors and investigators at healthcare seminar
Securities
- Broward County Bar Association – Sarbanes Oxley Act
- “Daily Business Review” seminar – Sarbanes Oxley Act
Investigations
- Lectured at Department of Treasury Federal Law Enforcement Training Center about multi-agency task force investigations
- Martindale Hubbell Highest Peer Review Rating – AV Preeminent
- AVVO Rating – Excellent
- Commendation from the United States Attorney for the Northern District of California for an organized crime prosecution.
- Department of Justice Service Award.
- Department of Justice Special Achievement Award.
- Department of Justice Meritorious Service Award.
- Letter of Commendation from Jo Ann Harris, Assistant Attorney General in charge of
the Criminal Division, for healthcare fraud prosecution. - Letter of Commendation from Helen F. Fahey, United States Attorney for the Eastern District of Virginia, for a healthcare fraud prosecution.
- Letter of Commendation from Attorney General Janet Reno for healthcare fraud prosecution.
- Merit Awards for excellent service to SEC.
- Letter of Commendation from New York City Mayor Edward I. Koch for investigation of and prosecution involving the fuel oil industry.
UNPARALLED KNOWLEDGE
Mr. Serafini received numerous awards and commendations for outstanding achievements while at the Department of Justice and the Securities and Exchange Commission.
Since leaving government service Mr. Serafini has been in the private practice of law. Initially, he worked at large law firms including one of the largest in the country before opening a solo practice. He has almost 20 years of experience representing clients in the private sector. Mr. Serafini brings his wealth of experience to the aid of his clients. He distinguishes himself by engaging government attorneys early in the investigative process to prevent the bringing of charges against his clients. Experience has taught him that a government charge itself may have devastating consequences for individuals and businesses. If unable to prevent the filing of an action, Mr. Serafini is exceptionally experienced at handling the matter through every stage of the process to help his clients achieve the best possible results. In the securities arbitration domain Mr. Serafini represents clients whose brokers and advisors have violated their fiduciary duties and the rules governing treatment of customers and the handling of the customers’ funds.
Because Mr. Serafini is a sole practitioner, he handles a limited number of cases at any given time so that he may provide the personal service to each client. Mr. Serafini has the top Martindale Hubble peer review rating of “av.” Additionally, AVVO legal ratings judges him to be “excellent.” Mr. Serafini began his legal career as a local prosecutor in New York where he served as a Special Assistant District Attorney in the New York County District Attorney’s Office and as an Assistant Attorney General in the New York Attorney General’s Office.
A FORMER FEDERAL PROSECUTOR AND SEC ENFORCEMENT SUPERVISOR
Many factors distinguish Richard A. Serafini, Esq., the principal of Serafini Law Office, LLC. Mr. Serafini is a former federal prosecutor. He spent 10 years as a senior prosecutor at the United States Department of Justice. He was a fraud and organized crime prosecutor, serving in both the Fraud Section and as a Strike Force attorney in the Organized Crime and Racketeering Section of Main Justice in Washington, DC. In these positions, Mr. Serafini represented the United States in the largest and most complex cases in federal courts throughout the country. They included securities, bank fraud, health care fraud, government program fraud, money laundering, and asset forfeiture.
Before joining the Justice Department Mr. Serafini served as a supervisor in the Enforcement Division of the U.S. Securities and Exchange Commission. In this position he supervised six enforcement attorneys. His portfolio of enforcement cases involved fraud, such as insider trading, market manipulation, accounting cases, books and records cases, Foreign Corrupt Practice Act cases and RICO matters.
