About Richard Serafini
About
Richard A. Serafini, ESQ
Welcome to Serafini Law Office, LLC. Richard A. Serafini, Esq. obtains the best possible results for his clients. 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.
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RICHARD A. SERAFINI, ESQ
SERAFINI PROTECTS YOU AND YOUR COMPANY
Mr. Serafini handles a limited number of cases at any given time so that he may provide the personal service to each client.
Our History
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.
Education
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.
Media
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
Faculty Appearances
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
Awards
- 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.
Unparalleled 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 customer’s 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.
