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  • Mittal Patel

    Mittal Patel

    Associate

    Mittal Patel is an Associate and member of Stark & Stark’s Investment Management & Securities Group. She counsels the financial services industry on a wide range of topics including formation, compliance, and employment-related matters. She represents clients in all aspects of securities arbitration proceedings and regulatory matters.

    Prior to joining Stark & Stark, Mittal served as a legal intern for the SEC in their Division of Corporation Finance, Division of Enforcement, and FINRA’s Department of Enforcement. Prior to law school, she served as a Risk Associate for Wells Fargo and business honors intern for the SEC in their Division of Examinations. While in law school, she served as Student Attorney for the Clinic for Law and Entrepreneurship, Treasurer of the Corporate Law Society, and was the Alumni Chair of the Asian Pacific Law Students Association.

    Mittal is an active member of the South Asian Bar Association of New Jersey (SABA-NJ) and will serve as SABA-NJ’s Vice President of Public Relations in 2025.

    Bar/Court Admissions

    • New Jersey 
    • Pennsylvania
    • New York

    Education

    • J.D., Villanova University Charles Widger School of Law, 2024
    • B.A., Rutgers University, 2020

    Thought Leadership

    • SEC Turns Spotlight on Adviser Shortfalls in Testimonials, Endorsements, and Ratings. NAPFA Advisor Magazine. March 2026.
    • Presenter, The ADV Trap: Common Mistakes That Could Cost You—And How to Avoid Them. RIA Compliance and Legal Strategies Conference. December 4, 2025.
    • Presenter, Tech Trends: Bitcoin, AI, & Electronic Communication. RIA Compliance and Legal Strategies Conference. December 4, 2025.

    Professional Organizations

    • South Asian Bar Association, Vice President of Public Relations
    Business & Commercial Law Blog
    April 1, 2026
    Per the SEC’s 2026 examination priorities, regulators are placing a greater focus on registered investment advisers’ (“RIA”) compliance...
    Business & Commercial Law Blog
    January 8, 2026
    The Securities and Exchange Commission’s Division of Examinations (the “Division”) issued a Risk Alert titled “Additional Observations...
    Business & Commercial Law Blog
    November 20, 2025
    The U.S. Securities and Exchange Commission (the “SEC”) Division of Examinations (the “Division”) released its 2026 examination priorities,...
    Business & Commercial Law Blog
    October 20, 2025
    Every RIA that uses artificial intelligence (“AI”) tools as part of their day-to-day operations should have an AI policy that outlines...
    Business & Commercial Law Blog
    October 2, 2025
    In May 2024, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Regulation S-P, requiring registered investment advisers...
    Podcast
    March 30, 2026
    SEC examinations often focus on how registered investment advisors design, implement, and document their compliance programs. In this episode of...
    Podcast
    February 24, 2026
    Registered investment advisors face increasing scrutiny under the SEC’s marketing rule, particularly around testimonials, endorsements,...
    Firm News
    April 1, 2025
    For the month of April, the Investment Management Team is proud to present an exclusive RIA Compliance and Legal Strategies Zoom Webinar Series,...
    Firm News
    December 18, 2024
    Stark & Stark is pleased to welcome Mittal Patel, Esq. to our Hamilton office. Mittal is a member of Stark & Stark's Investment Management...

    Firm Highlights

    Stark & Stark Joins Growing Coalition of Law Firms in Defense of Constitutional Principles and the Independence of the Legal Profession

    Stark & Stark has joined hundreds of fellow law firms across the country in filing an amicus brief supporting Perkins Coie, WilmerHale, Jenner...

    Stark & Stark Attorneys Recognized as New Jersey “Super Lawyers” and “Rising Stars” in 2026

    Stark & Stark is pleased to announce that 15 of its attorneys have been selected for inclusion in the list of 2026 New Jersey Super Lawyers,...

    Bruce Stern, Esq. Secures $1,000,000 Settlement in Motor Vehicle Collision Case

    Bruce Stern, Esq. recently secured a $1,000,000 settlement in a motor vehicle collision case.* “This case highlights how quickly things can go...

    Deborah Dunn, Esq. Elected to Board of Directors for Angel Flight East

    Stark & Stark is pleased to announce that Deborah Dunn, Esq., Shareholder and Civil Trial Attorney, has been elected to the Board of Directors...

    Michael Jordan, Esq. Joins the Board of the Lawrence Township Community Foundation

    It is our pleasure to announce that Michael Jordan, Esq. has joined the board of the Lawrence Township Community Foundation, an organization...

    Stark & Stark Opens Newtown, Pennsylvania Location

    Stark & Stark announced the relocation of its Yardley, Pennsylvania office to a new location in Newtown, PA. The new office is now open and...

    Joseph Lemkin, Esq. Named to ROI-NJ Influencers: Power List 2026 – Law

    Stark & Stark is proud to share that Joseph Lemkin, Esq., Shareholder, has been named to the 2026 Influencers: Power List in the Law category...

    Jeffrey A. Krawitz, Esq. and Michael C. Ksiazek, Esq. Secure $1,000,000 Settlement in Medical Malpractice Wrongful Death Case

    Jeffrey A. Krawitz, Esq. and Michael C. Ksiazek, Esq. recently secured a $1,000,000 settlement in a medical malpractice wrongful death...

    Joseph Cullen, Esq. and Nicole Durso, Esq. Secure $2,000,000 Settlement in Personal Injury Matter

    Joseph Cullen, Esq. and Nicole Durso, Esq. recently secured a $2,000,000 settlement in a personal injury matter involving a pedestrian who was struck...

    Stark & Stark Welcomes Susan L. Swatski, Esq. to the Firm

    Continuing in its mission to provide its clients innovative legal solutions to meet their needs, Stark & Stark PC, announced today that Susan L....

    Tim Duggan Wins Eminent Domain Challenge – Case Dismissed

    We are pleased to share that Tim Duggan of our Condemnation, Redevelopment, and Eminent Domain Group was successful in protecting the owner of a...

    James Creegan, Esq. Appointed to Board of The 200 Club of Mercer County

    It is our pleasure to announce that James Creegan, Esq. has been appointed to the Board of Directors of The 200 Club of Mercer County, an...