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Therese M. Doherty: profile
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Therese M. Doherty is a co-chair of Herrick's 75-attorney Litigation Department, as well as co-chair of the firm's Securities, Futures & Derivatives Litigation 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 litigation, 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.

Recent Matters of Note:
2012
Futures Commission Merchant - Bankruptcy Trustee Claims
Defend an FCM against a Bankruptcy Trustee's allegations that funds transferred to the debtor's trading account were fraudulent transfers and, although largely lost in futures trading, should be returned to the estate by the FCM.
2012
Futures Commission Merchant - Class Action
Defend an FCM in a class action lawsuit against claims alleging that the firm engaged in, or assisted, a scheme to manipulate the prices of palladium and platinum futures contracts traded on NYMEX.
2011
Futures Commission Merchant - Fraud Claims
Defended a Futures Commission Merchant ("FCM") in a federal civil lawsuit alleging that a former employee of the FCM assisted the employees of a bank to overvalue the bank's over-the-counter natural gas options book. Damages in excess of $500 million were sought.
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