Amy Rothstein

Of Counsel

Amy Rothstein, counsel to the firm, is an experienced civil litigator and alternative dispute resolution neutral in commercial, securities and employment cases. She serves as a mediator, special master, referee and arbitrator. Additionally, Ms. Rothstein handles investigations, monitorships and criminal post-conviction work.

A former Assistant United States Attorney in the Southern District of New York's Civil Division and former Deputy Chief of the New York State Attorney General's Investor Protection and Securities Bureau, Ms. Rothstein served as a Special Master for the Hon. Beatrice Shainswit, the Hon. Karla Moskowitz, and the Hon. Richard B. Lowe III, all formerly of the New York State Supreme Court's Commercial Division, as an Independent Hearing Officer for the New York State Banking Department and currently serves as a Hearing Referee for the New York State Financial Services Department's Liquidation Bureau.

Ms. Rothstein's trial experience contributes to her skills as an arbitrator and her work as a mediator and arbitrator have made her highly effective as a special master and referee. She serves as a mediator and arbitrator for the American Arbitration Association and in other forums. She is a FINRA mediator.

Ms. Rothstein has handled complex litigation for international as well as U.S. clients. She currently serves as a court-appointed receiver for a large apartment building in New York City.

From 1984 to 1988 she was an Assistant United States Attorney in the Civil Division of the Southern District of New York, where she defended and prosecuted actions on behalf of the United States in a broad range of subject areas including government regulation, tax, environmental law and employment discrimination. Ms. Rothstein served as Assistant General Counsel at a securities firm from 1998 to 1990 and as Deputy Chief of the Investor Protection and Securities Bureau in the New York State Attorney General's Office from 1990-1995. From 1994-1998, as a member of the Adjunct Faculty, Ms. Rothstein taught a securities practice seminar at Brooklyn Law School.

Ms. Rothstein has handled criminal appeals and other post-conviction work on both the defense and prosecution sides: at the Legal Aid Society's Criminal Appeals Bureau and at the New York State Attorney General's Securities Bureau. This background contributes to her skills as an appellate/post-conviction advocate.

Areas of Practice:

• Alternate Dispute Resolution (ADR)
• Mediation
  
• Complex Civil Litigation
  
• Internal Investigations, Corporate Compliance, and
• Monitorships
• Securities Enforcement, Regulatory, and Broker-Dealer Matters
  
• Criminal Appeals and other Post-Conviction Work

Bar Admissions:

• New York
  
• U.S. District Court Southern District of New York
  
• U.S. District Court Eastern District of New York
  
• U.S. District Court Western District of New York
  
• U.S. Court of Appeals 2nd Circuit

Education:

• J.D., New York University School of Law, 1972
  
• B.A., Boston University, magna cum laude, 1969; Phi Beta Kappa
  

Publications:

• Before the Beginning: Conversations With Your Mediator, New York Law Journal, September 10, 2010.
• Mock Arbitrations: A New Kind of 'Jury' Research, New York Law Journal, September 10, 2009
  
• "The New York County Lawyers' Association Report of the Committee on Federal Courts on Pro Hac Vice Admissions to the Federal Courts," Joint Committee of the Southern and Eastern Districts of New York, 169 F.R.D. 390, 1997
  

Classes/Seminars Taught:

• Mediation Facilitator/Trainer, New York University School of Law
• Mediation Facilitator/Trainer, Columbia University School of Law
• Mediation Facilitator/Trainer, Fordham University School of Law
• Mediation Facilitator/Trainer, New York City Bar Association
• Mediation Trainer/Facilitator, Commercial Division, New York Supreme Court, NY County
• Mediation Facilitator/Trainer, New York State Department of Law
• Mediation Facilitator/Trainer, New York City Law Department

Professional Associations and Memberships:

• American Arbitration Association
  Arbitrator and Mediator
  
• Financial Industry Regulatory Authority
  Mediator
  
• Southern and Eastern Districts of New York
  Mediator
  
• Commercial Division, New York Supreme Court, NY County
  Mediator
  
• New York City Bar Association
  Past Member - ADR, Arbitration and Federal Courts Committees
  
• New York County Lawyers Association
  Member - Arbitration, ADR, Federal Courts, Special Master Committees
  
• Association for Conflict Resolution (formerly SPIDR)
  Member
  

Past Employment Positions:

• Brooklyn Law School, Adjunct Faculty, 1994 - 1998
• New York State Department of Law, Deputy Chief, Investor Protection and Securities Bureau, 1990 - 1995
• Gruntal & Co., Incorporated, New York, NY, Assistant General Counsel, 1988 - 1990
• United States Attorney's Office, S.D.N.Y., Assistance United States Attorney, Civil Division, 1984 - 1988
• The Legal Aid Society, Staff Attorney, Prisoners' Rights Project, 1977 - 1984
• The Legal Aid Society, Staff Attorney, Criminal Appeals Bureau, 1974 - 1977
• Weil, Gotshal & Manges, Litigation Associate, 1972 - 1974

Pro Bono Activities:

• Special Master for Hon. Richard B. Lowe, III, Commercial Division, NY Supreme Court, 2010 – present
• Special Master for Hon. Beatrice Shainswit, Justice, Commercial Division, NY Supreme Court, 1999 - 2001
  
• Special Master for Hon. Karla Moskowitz, Justice, Commercial Division, NY Supreme Court, 2001 - 2007
  
• Mediator, District Courts, SDNY and EDNY, 1996 - Present