Patricia Yak Attorney Profile on UpCounsel
Patricia Yak

Patricia Yak

Attorney at Law

Pelham
Licensed in
NY, CT
Pace University School of Law

"She was thorough and made me feel at ease."

5.0 5
Clear Communication
Response Time
Knowledgeable
Meets Deadlines
out of 11 reviews
About
Patricia is an experienced attorney with over 24 years in the securities industry whose practice has covered a wide variety of regulatory, transactional and technology matters. She began her practice as an associate with a national law firm, spent 20 years on Wall Street and recently was Deputy GC to a start-up.
Patricia has expertise in MFSTAs, MRAs, ISDAs and MSLAs and was lead counsel in to JVs that developed related FinTech. She regularly advises as to SEC, Dodd-Frank, CFTC and FINRA regulations.

Patricia obtained a B.S. from The College of Staten Island (CUNY) and J.D., cum laude, from Pace University School of Law School. She is
… read more admitted to practice in New York and Connecticut.
7
Repeat
clients
25
Projects on
upcounsel
32
Years
experience
A few hours
Response Time

Representative Clients

Practice Areas

Client Reviews

5.0
Clear Communication
Response Time
Knowledgeable
Meets Deadlines
out of 11 reviews
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"I had to find a new lawyer when I left my old company but my last UpCounsel gem was "conflicted out" from representing me. I found Patricia and she was just what I was looking for. She's has decades of transactional experience and was able to zero in on all the key issues, make sure I was protected in a sensitive negotiation, but not get in the way of the business. I plan on using her services again soon."

Review Vendor Agreement
Posted on May 25, 2018
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"She was thorough and made me feel at ease."

Review Non-Compete Agreement
Posted on Apr 15, 2018
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"Had a great experience working with her."

Review Employment Agreement
Posted on Feb 16, 2018
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"Patricia Yak reviewed and discussed an employment contract and the employer's revisions to her changes. She was prompt, easy to talk to, listened well, replied to questions knowledgeably and in a way that addressed the questions, and was personable, efficient, and professional. I am not easy to please but I will keep her on my list to use and recommend in the future."

Employment Agreement Services
Posted on Dec 4, 2017
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"Patricia reviewed my case carefully and was able to alter some key condition in my favor"

Review Severance Agreement
Posted on Sep 26, 2017
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"Patricia is very responsive to messages, and provides high quality service for very nuanced employment contacts. I will absolutely request her service again when I am seeking a lawyer to review my employment contract."

Review Employment Agreement
Posted on Jul 27, 2017

Work History

New York Liquidation Bureau

Acting Chief Compliance Officer

May 2017 - Nov 2017

Interim ethics and internal controls officer:Coordinated compliance with the Joint Committee on Public Ethics including conflicts, gifts and ethics regulations; Created cyber security policies, procedures and training materials in accordance with NYS regulations;Created enterprise risk management task force to perform risk assessments and mitigation;drafted compliance manual; trained staff

May 2017 - Nov 2017

Cantor Fitzgerald

Associate General Counsel

Jul 2015 - Nov 2016

Led successful negotiations with PB clients resulting in 30% increase in business in a four-month period; Responsible for all transactions re: coverage area: ISDAs, MSLAs, MRAs. MSFTAs, NDAs, Custody and Clearing;Secured critical relationships w/ securities lending platform in relation to successful launch of business;Resolved real-time broker-dealer regulatory issues

Jul 2015 - Nov 2016

Amherst Pierpont Securities

Deputy General Counsel

Jan 2013 - Jun 2015

Responsible for all day-to-day legal matters of Connecticut headquarters for privately held broker dealer start-up.
Provided strategic legal advice tin evaluation of equity capital and strategic business initiatives (ex: e-commerce investments, joint venture; structured products).
MRAs, MSAs, MSFTAs, software licensing, leases, vendor contracts, joint ventures, employment agreements

Jan 2013 - Jun 2015

Credit Suisse

Director and Counsel

Mar 2002 - Dec 2009

Provided legal and regulatory, bankruptcy advice re: fixed income products including derivatives, securities lending, repurchase transactions, prime brokerage, fx, futures, structured products and cash sales.
managed negotiation of ISDAs, MRAs, MSLAs and MSFTAs
Advised sales and trading on a real-time basis as to regualtions:margin rules, custody, clearing and settlement issues, buy-ins

Mar 2002 - Dec 2009

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