Richard W. Barry
Director of Securities Litigation
(973) 994-9494 ext.151 | rick.barry@sobel-cpa.com

Richard Barry joined Sobel & Co.’s Fraud and Forensic/Litigation Services Group in 2008 after having served as the Chief Investigator and Chief of Enforcement for the New Jersey Bureau of Securities. Barry was with the Bureau of Securities for the State of New Jersey for about 25 years, having started there in 1984. During that time, he recruited and trained hundreds of government attorneys and investigators in his role regarding the oversight and investigation of complaints and examination of broker-dealers and investment advisors. Prior to this he was a Trading Surveillance Investigator at the New York Futures Exchange, Inc. and served as an Investigator at the New Jersey Bureau of Securities headquartered in Newark, New Jersey from 1979-1983.

Richard Barry brings extraordinary credentials and expertise to complement the Sobel & Co. fraud and forensic team. As a result of his years of experience coordinating and leading investigations and examinations within governmental agencies and self-regulatory organizations, Barry is able to review reports and records, gather and prepare evidence and conduct critical interviews that quickly and efficiently identify areas of greatest concern for misconduct. His background, which includes joint investigations with the NYSE, NASD, FINRA, the SEC, FBI and various state securities agencies and county, state and federal criminal investigative agencies and prosecutors, provides a significant advantage for Sobel & Co. clients.

Mr. Barry has earned a wide range of honors and awards for his extraordinary professional successes. In 2006, he was honored by the North American Securities Administrators Association as the recipient of their prestigious NASAA Enforcement Award for his aggressive pursuit of investigations involving the most pressing issues impacting the securities industry and investors. In addition, he has been recognized by a number of other agencies including the New Jersey State Police, the Federal Bureau of Investigation and the U.S. Postal Inspection Service in connection with his role in various investigations and prosecutions. A member of various NASAA committees, including the Broker-Dealer Regulation Committee, Enforcement Policy Committee, Penny Stock/Telemarketing Committee and the Market Manipulation Committee, Barry brings real-world perspective as the leader of many major investigations and a high level of technical excellence to the firm.

He graduated from Monmouth University with a Bachelor of Science in Business Administration and participated in graduate-level course work in auditing accounting and finance at the Monmouth University Graduate School of Business. He is a frequent speaker on the subjects of securities regulation, investigations and prosecution and he has appeared before the New Jersey Legislature proposing recommendations to enhance investor protection in this state. An avid surfer, Barry is a resident of Point Pleasant, New Jersey where he lives with his family.

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