Profile
Carlos Real is a national securities litigator at Greenberg Traurig where he defends Wall Street brokerage firms and their employees. He focuses his practice on complex business litigation, employment, and securities litigation, and defending regulatory investigations for financial institutions. He regularly defends broker-dealers before the Financial Industry Regulatory Authority (FINRA), AAA, and JAMS as well as in state and federal courts. Carlos has handled a wide range of matters for Wall Street clients, including defending customer complaints involving sales practice issues, money laundering, Ponzi schemes, unauthorized checks and wire transfers. He has also defended employment claims related to racial, religious, age, and sexual orientation discrimination, retaliation, tortious interference, noncustomer claims, and U-5 defamation. His representations of broker-dealers also include defending regulatory matters involving AML compliance with monitoring, reporting, record-keeping, and record retention requirements in regulations implemented under the Bank Secrecy Act.
Concentrations
- Arbitration
- Contract law and disputes
- Commercial law and litigation
- Employment litigation
- Financial services and banking litigation
- Securities litigation and arbitration
- Securities regulatory investigations
Capabilities
Experience
- Represented major broker-dealers and other securities industry participants in arbitration hearings before the Financial Industry Regulatory Authority (FINRA) and JAMS in a wide variety of customer sales practice claims including suitability, breach of contract, breach of fiduciary duty, misrepresentation and fraud claims.
- Represented Wall Street investment firms in a wide variety of employment cases.
- Represented Wall Street investment firms in customer arbitrations involving allegations of research analyst conflicts of interest.
- Represented a major investment firm in significant cases involving stock options brought by former WorldCom employees.
- Represented Wall Street investment firms in regulatory investigations involving AML compliance with monitoring, reporting, record-keeping, and record retention requirements under regulations implemented under the Bank Secrecy Act.
- Obtained permanent residency for an unaccompanied minor from Mexico.
- Represented two children seeking humanitarian parole from Honduras to reunite with their mother in the United States.
- Represented Afghani clients seeking relief in the U.S. following U.S. withdrawal from Afghanistan.
Recognition & Leadership
- Member, Orange County Bar Association
- Member, Seminole County Bar Association
- Member, Hispanic Bar Association of Central Florida
- Hispanic National Bar Association
- Member, Securities Industry and Financial Markets Association (SIFMA)
Credentials
- J.D., Cornell Law School
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B.A., with highest honors, Rutgers University,
- Phi Beta Kappa
- New York
- Florida
- U.S. District Court for the Southern District of New York
- U.S. District Court for the Northern District of Florida
- U.S. District Court for the Middle District of Florida
- U.S. Bankruptcy Court for the Middle District of Florida
- Spanish, Native