Joseph Pastore III

Managing Partner Pastore & Dailey LLC

Member Details

  • Connecticut
  • New York

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  • Capital Markets
4 High Ridge Park Third Floor
Stamford 06905 United States

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Joseph M. Pastore III is a Member and Managing Partner of Pastore & Dailey LLC.

Mr. Pastore focuses his practice on the financial services and technology industries. He represents major multinational companies in state and federal courts, as well as before self-regulatory organizations, such as FINRA and the NYSE, state utility boards and federal agencies, such as the SEC and the FCC.  Mr. Pastore has been a managing partner for two national law firms, and served on the National Executive Committee of an AmLaw 200 Firm. He has been named a "Super Lawyer" for both New England and New York.

Mr. Pastore has been consistently named as a leading attorney for financial services companies, including the securities, banking and insurance industries on securities matters. He represents major securities industry companies, including internationally significant brokerage firms, broker dealers, specialists firms, transfer agents and derivative brokers. Mr. Pastore also represents large and small hedge and venture funds and RIAs, and provides counsel on all aspects of private equity investment. He has also handled several of the largest FINRA arbitrations ever held before that body. He was counsel in national seminal securities investigations including the national SPAC Investigation, the national CDS investigation, and an investigation by the SEC, FINRA and TARP concerning the largest IPO in US History.

On banking issues, Mr. Pastore has handled regulatory and litigation disputes for the nation’s largest mortgage lenders and defended and prosecuted major matters concerning bank conversions. He is counsel to lenders, including counsel for the leading lender in the largest bankruptcy in Connecticut in the past 10 years. He has represented banks in asset backed lending disputes and as counsel to several of the largest custodial banks in the country, including in a $40B matter in the SDNY. He also represents one of the largest retail banks in over 100 cases nationally.

On insurance matters, Mr. Pastore has handled major reinsurance arbitrations and litigations including matters filed in foreign jurisdictions hosting captive reinsurance companies. He also regularly represents major international insurance companies in disputes critical to their investment holdings. Large international carriers have regularly placed him on approved counsel lists.

He is also recognized for his representation of many technology companies. He regularly represents large technology and telecommunications companies, including many Internet, satellite, computer software, networking, voice and data companies, and start-up ventures. He has also served as lead counsel in New York and Connecticut for Fortune 500 corporations in several national class action litigations.

Mr. Pastore also has extensive experience negotiating commercial agreements, including venture capital term sheets, technology license agreements, partnership agreements, joint venture agreements, merger agreements, executive employment and compensation plans and limited liability company agreements.

He has published several articles concerning securities law, technology and corporate governance in the New York Law Journal, the Los Angeles Daily Journal, the Connecticut Law Tribune and the Practicing Law Institute.

Mr. Pastore serves on the Public Policy Board for Bucknell University and has served on the fundraising committees for The Northern Westchester Hospital. He is a member of the Bars of the State of New York and the State of Connecticut. He is also on the Corporate Bar Association of Westchester and Fairfield Counties, where he had served as co-chairman of the commercial and business section.

Mr. Pastore received his B.A., cum laude, from Bucknell University in 1988. He received his J.D. degree, cum laude, from Pace University School of Law in 1991. Mr. Pastore served as managing editor of a national law review. Mr. Pastore is admitted to practice law in Connecticut, New York, the U.S. District Court for the District of Connecticut, the U.S. District Court for the Southern District of New York, the U.S. District Court for the Eastern District of New York and the U.S. Court of Appeals for the Second Circuit and the U.S. Court of Appeals for the First Circuit.  He has been named a Super Lawyer in both the New York Metropolitan and New England areas.


Bucknell University, 1988, B.A. cum laude

Pace University School of Law, 1991, J.D. cum laude

Bar Admissions

Connecticut and New York

District of Connecticut

Southern District of New York

Eastern District of New York

Western District of New York

United States Court of Appeals for the Federal Circuit, First Circuit, and Second Circuit

Publications & Presentations

"Brokers and Advisers Beware: Taking Customer Information Could Get You Fined and Suspended," Securities Industry Alert (April 2011)

"New FINRA Rule: Customers May Now Opt for Three Non-Industry Panelists in FINRA Arbitrations." Securities Industry Alert (February 2011)

"Proposed FINRA Rule Impacts Private Placements," Securities Industry Alert (February 2011)

"SEC Adopts New Rule Preventing Unfiltered Market Access," Securities Industry Alert (November 2010)

"Advisors: Beware of the “Switch” From SEC Oversight to State Regulation," Securities Industry Alert (September 2010)

"Broker Beware: New FINRA Guidance Suggests Renewed Regulatory Focus on Broker-Dealers Involved in Regulation D Offerings," Securities Industry and Tech & Venture Finance Practice Alert (May 2010)

"FINRA Opens Up Brokers' Closets Even Further ... and for Longer," Securities Industry Alert (July 2010)

"The Dodd-Frank Wall Street Reform and Consumer Protection Act," Securities Industry Alert (July 2010)

"FINRA's Guidance on Social Media Web Sites," Securities Industry Practice Alert (January 2010)

"FINRA's Enforcement Process Steps Up in 2010," (January 2010)

"Some Thoughts for Your Annual Compliance Review: Red Flags and AML Procedures," Securities Industry Practice Alert (January 2010)

"Series LLCs and Their Use in the Securities Industry," Securities Industry Practice Alert (January 2010)

"New Disclosure Rules: More Regulation for Registered Representatives" Securities Industry Practice Alert (September 2009)

"SEC Enforcement Staff Gains Subpoena Power (and Other Evolutions in the Division's Authority and Responsiveness)," Securities Industry Alert (August 2009)

"Raising International Regulatory Standards and Cooperation in Troubled Times," Securities Industry Alert (July 2009)

"The FRR Report Proposes a Resolution Regime to Aid Failing Firms," Securities Industry Alert (July 9, 2009)

"FRR Report Proposes Three New Regulatory Agencies," Securities Industry Alert (July 2009)

"FRR Would Decrease Reliance on CRAs and Increase Systemic Safeguards," Securities Industry Practice Group Alert (July 2009)

"The Formation of a New Consumer Financial Protection Agency," Securities Industry Alert (July 2009)

"SEC Proposes Amendments to Investment Advisers Act," Securities Industry Alert (June 2009)

Treasury Faces Major Legal Roadblocks on Recycling TARP Funds," SNL Financial (April 23, 2009)

Speaker, "Big Boy" Letters, Side Letters and Other Variations on Alternative Investments, Second Annual Hedge Fund General Counsel Summit: Industry Insight in Uncertain Times, Stamford, CT (September 25, 2008)

"A Rapidly Evolving Process,"Practicing Law Institute Corporate Law and Practice Course Handbook Series (August 2004)

"How To Better Position Your Arbitration Strategy So As To Prevail on Post-Arbitration Challenges in the Courts," Securities Arbitration 2004

"Arbitrability of Copyright Disputes in the Securities Industry," New York Law Journal (July 18, 1997)


American Lawyer's , Top Rated Attorney for Litigation, Employment and Appellate Law 2014

American Lawyers' Top Rated Attorney in 2015 for Litigation, Commercial Litigation, and Labor and Employment

America’s Most Honored Professionals 2015 and 2016 - Top 1%

Boston Top Rated Lawyer for Appellate Law and Litigation 2015

Martindale-Hubbell Top Rated AV Preeminent® Lawyer for Litigation, 2008-2016

Martindale-Hubbell Top Rated Lawyer for Labor and Employment, 2015

Martindale-Hubbell Top Rated AV Preeminent® Lawyer for Appellate Law, 2013-2016

Martindale-Hubblell Top Rated Lawyer in Boston, 2015

Martindale-Hubbell Top Rated AV Preeminent® Attorney for The New York Metro Area, 2015-2016

Martindale-Hubblell Top Rated Lawyer in Connecticut, 2013-2016

Member of Rue Ratings' Best Attorneys of America 2015

New England Super Lawyers, 2009-2011

New York Metro Super Lawyers, 2012- 2016

Super Lawyers 2014 Business Edition

Westport Magazine and New Canaan-Darien Magazine - Top Lawyers in Fairfield County, CT - Insurance, Securities and Technology and Science, 2010


Member of the Elisabeth Haub Pace University School of Law Board of Visitors

American Bar Association

Corporate Bar Association of Westchester and Fairfield Counties - Commercial and Business Section

Former co-chairman, Bucknell University Fundraising Committee

The Northern Westchester Hospital, Fundraising Committee

The Bucknell University Public Policy Advisory Board

Firm Description

Pastore & Dailey LLC is a leading law firm in commercial litigation, representing financial services companies and individuals in a variety of securities, banking, insurance and employment matters.  Our Partners include a former general counsel of a Wall Street brokerage firm and a senior NYSE regulatory attorney; the former Secretary of State for the State of Connecticut and a candidate for the US Senate; an attorney who has been named a top litigator nationally in multiple legal publications for nearly 10 years; and many others who practiced for many years at AMLaw 100 firms.  Pastore & Dailey maintains six offices nationally, including New York, Boston, Stamford and Glastonbury and in Florida in Gainesville and Melbourne.