Carlton R. Asher, Jr. is of Counsel to Kim & Bae, PC. His areas of expertise include All phases of civil litigation, including arbitration and administrative proceedings, relating to: Institutional and retail securities and commodity futures transactions, both domestic and international, including public distributions, private placements, trading, clearance and settlement; Corporate and financial disclosure; accounting and auditing standards; Corporate control and minority stockholder disputes; Broker-dealer, investment advisor, investment company and trust indenture compliance; Bankruptcy, reorganizations and receiverships; lender-based liability and restructuring; Investment management; ERISA; estates and trusts, contested accounting, probate and other fiduciary matters; Defamation and commercial disparagement; antitrust; RICO; trademarks; licensing; Partnership disputes and liquidations; Real estate finance; real estate development; mortgage foreclosure; building construction; broker-dealer and securities arbitrations, commercial transaction, commercial litigation, and anti-trust cases. Mr. Asher has litigated these matters in federal and state courts across the country and in NYSE and NASD arbitration forums.
Prior to working with Kim & Bae, PC, Mr. Asher was a partner of Gaston & Snow (formerly known as Beekman & Bogue), 1980-1990; Bickel & Brewer, 1990-1992; and Ober, Kaler, Grimes & Shriver, 1992-1994.
He is a member of the Bars of the States of New York and Pennsylvania, and is admitted to practice before the U.S. Courts of Appeals for the Second and Third Circuits, the U.S. District Courts for the Southern District of New York, the Eastern District of New York, the Eastern District of Pennsylvania, and the U.S. Tax Court.
Mr. Asher is a member of The Association of the Bar of the City of New York; American Bar Association, Litigation Committee, Committee on Securities Litigation, International Litigation Committee, Committee on Individual and Small Firms; Section of International Law and Practice; and Federal Bar Council.
Mr. Asher received a B.A. from Brown University in 1966 and received a J.D. from Vanderbilt University School of Law in 1969.
Mr. Asher has also authored many publications on matters related to securities arbitration law including: Practicing Law Institute 2002. Securities Arbitration: Chapter Co-Authored with Christine M. Bae “Chinese Walls – Procedures and Remedies for Dealing With Conflicts of Interest and Other Abuses by Broker – Dealers in Connection with Conduct by their Securities Analysts”, and is currently an editor of Securities Arbitration Commentator.