Ernie is a partner in the Business Litigation and Investment Management practice groups. He advises clients on a broad range of business matters, including securities, commodities, private equity and hedge fund, broker-dealer and investment advisers, corporate governance, partnership and shareholder disputes, and minority shareholder oppression litigation. He represents clients in internal investigations; civil regulatory investigations and actions before the SEC, states, and SROs; civil litigation; and white-collar criminal matters. Ernie counsels clients on the creation of digital assets exchanges, alternative trading systems, broker-dealers, investment advisers, commodity trading advisers, futures commission merchants, introducing brokers, hedge and private equity funds, and commodity pool operators as well as on compliance and regulatory matters relating to their operations. Ernie also assists clients in using ICOs and SAFTs to fundraise, as well as those clients who invest in digital currency, NFTs, and the operation of digital currency funds.

As part of his practice, Ernie assists financial services firms in obtaining BitLicenses, complying with OCIE examinations targeting digital currency investment, and ensuring compliance with FinCEN, FINRA and Bank Secrecy Act regulations, including Know Your Customer (KYC), anti-money-laundering (AML) and data privacy requirements. Similarly, he aids financial services firms with cybersecurity demands and advises on various regulatory compliance matters, including the comprehensive New York Department of Financial Services Cybersecurity Requirements for Financial Services Companies and mandates regarding risk assessment, personnel, policy, breach notification and third-party service providers, as well as SEC, CFTC and FINRA requirements relating to cybersecurity requirements.

Ernie is a frequent speaker on topics affecting corporations, executives and their employees. He has moderated and participated in many forums, most notably with the American Bar Association, American Arbitration Association, New York County Lawyers Association, American Conference Institute, New York State Association of Criminal Defense Lawyers, Trial Attorneys of New Jersey and the Association of Corporate Counsel.

Ernie is the author of Encyclopedia of New York Causes of Action: Elements and Defenses (New York Law Journal Books, May 2024, 16th ed.) and Chapter 109: “The Attorney-Client Privilege and the Work Product Doctrine,” Securities Law Techniques (December 2023) and a contributing author of Chapters 1 and 2 of Securities Law Series: Securities Crimes, Vol. 21 (Thomson Reuters/West, September 2023) and Chapter 42G: “Private Placement Sales,” Broker-Dealer Regulation (Practising Law Institute, May 2022). He also authored the Proxy Regulation chapter of Federal Securities Exchange Act of 1934 (LexisNexis, 2024), Chapter 5B: “Attorney Liability Under the 1934 Act,” Federal Securities Exchange Act of 1934 (LexisNexis Matthew Bender, August 2023), and Chapter 2: “Applicability of the Act: ‘Security’ and ‘Sale,’” Federal Securities Act of 1933 (LexisNexis Matthew Bender, November 2023).

Ernie has also published articles in the Rutgers Law Review, New York Law School Journal of Taxation and Regulation of Financial Institutions, Brooklyn Journal of Corporate, Financial & Commercial Law, New York Law Journal, New Jersey Law Journal, the ABA’s WCC Bulletin and industry publications such as Registered Rep and the Hedge Fund Law Report. Numerous media outlets have turned to Ernie for his analysis of securities enforcement and corporate governance issues. He has served as a commentator for CNBC, Bloomberg Television News, Bloomberg Radio, KFXN All-News Radio, the Los Angeles CBS Radio affiliate, and the public television show Lawline. He has also been quoted in The New York Times, Wall Street Journal, the Los Angeles Times, Newsday, New York Post, The Star Ledger, The Record, The Birmingham Daily Record, USA Today, New York Law Journal, CBSMarketwatch.com, Bloomberg.com, Fortune and Foxnews.com, among others.

Prior to joining Thompson Hine, Ernie was co-chair of the Securities Industry, Private Equity & Investment Management and White-Collar Criminal Defense & Regulatory Compliance practices of a large national law firm. He previously served as a U.S. Securities and Exchange Commission enforcement attorney.

Ernie is an adjunct Professor of Law at both Brooklyn Law School and New York Law School, where he teaches courses in securities fraud enforcement, securities regulation, and commercial law. He has been appointed an arbitrator and mediator for the AAA; the Financial Industry Regulatory Authority, Inc. (formerly, the NASD and NYSE); the NFA; and the New Jersey State Courts.