Bio

Dick Brodrick is a partner in the firm's Stamford office. He focuses his practice on broker-dealers, mergers and acquisitions, venture capital, public and private securities offerings, investment advisory firms and financial services. Mr. Brodrick has represented broker-dealers and investment advisors. He has provided legal and compliance services for full-line brokerage firms, investment banking firms, investment companies, investment advisory firms, discount brokers, and many of the largest specialist firms on the New York Stock Exchange (NYSE). He also served as a director of several brokerage firms. His experience includes all facets of "soft dollar" arrangements from the point of views of brokers and money managers, and he has created the documentation for numerous hedge funds and other investment partnerships that specialize in risk arbitrage, convertible bonds and high-yield bonds.