Therese M. Doherty is a senior partner in Herrick's Litigation Department, and Co-Chair of its Securities and Derivatives Litigation and Regulatory Practice Group. Therese's practice is focused on derivatives, futures and securities in civil litigations and regulatory enforcement proceedings. She regularly defends and advises broker-dealers, futures commission merchants, banks and other global financial institutions. Clients also rely upon Therese to lead internal investigations. Therese is ranked in the U.S. Legal 500 Legal Directory in the area of securities ligation, which notes that her "depth of industry knowledge, and the ferocity with which she represents clients make her my go-to litigator for significant matters."
Therese has extensive trial and arbitration experience and appears in federal and state courts around the country and different arbitration forums, including FINRA, the NFA and various commodity and security exchanges. Therese's practice regularly involves complex claims of fraud, violations of commodities and securities laws, RICO violations, and accounting improprieties.
Therese's regulatory practice includes defending firms and individuals in investigations and enforcement proceedings initiated by the CFTC, SEC, U.S. Attorney's Offices, Attorneys General, self-regulatory organizations, including the NFA and FINRA, and various commodity and security exchanges. She also represents financial institutions in employment related matters, including recruitment disputes, restrictive covenants and issues involving Forms U-4, U-5 and 8T.