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Steven D. Feldman: profile

Steven Feldman is a lead partner in Herrick's White Collar Defense practice.   He represents companies and individuals accused of securities law violations, business crimes and fraudulent practices by the U.S. Attorney's Office, State Attorney General, District Attorney and U.S. Securities and Exchange Commission.   He also works with companies to conduct internal investigations and represents individual corporate officers in corporate internal investigations.  In criminal and regulatory matters, Steven represents broker dealers, stock brokers, hedge funds, investment advisors and corporate executives.  In some of his most important victories, Steven has convinced criminal authorities not to prosecute his clients for wrongdoing.

Prior to joining Herrick, Steven spent more than six years as an Assistant U.S. Attorney for the Southern District of New York in Manhattan.  During his last four years as a federal criminal prosecutor, Steven served on the Securities and Commodities Fraud Task Force.  There, he investigated and prosecuted cases under the federal securities laws, including hedge fund frauds, accounting fraud, insider trading, fraudulent offerings of securities and commodities, market manipulation and broker bribery, private placement frauds and boiler room schemes—often while coordinating parallel proceedings with the SEC, CFTC and court-appointed receivers.
 

• Insider Trading:  Extensive experience defending and prosecuting individuals charged with insider trading by the U.S. Attorney's Office and the Securities and Exchange Commission.  

 

• Public Corruption:  Representation of witnesses in federal and state criminal investigations and prosecutions involving cash payments to politicians.

 

• Hedge Fund Fraud:  Experience in criminal matters involving hedge funds.  At the U.S. Attorney's office, Steven prosecuted the operator/manager of domestic and off-shore hedge funds who acquired large, undisclosed positions in publicly traded companies and made significant misrepresentations that resulted in approximately $88 million in losses to investors.  Steven also represented clients in a prosecution resulting from major hedge fund collapses and a client in a pay-to-play investigation.  Steven's experience provides Herrick's clients with a clear advantage in all types of hedge fund fraud investigations. 

 

• Broker-Bribery & Stock Broker Misappropriation:  Investigation and prosecution of financial industry professionals for bribing stock brokers to purchase certain stock for their clients' accounts.  Steven also prevailed in a three week trial against a supervisory level stock broker charged with securities fraud for stealing clients' investment funds, which resulted in a 14-year prison sentence.  When clients are faced with charges of broker misconduct, they turn to Steven for his in-depth knowledge of how these investigations are conducted.

 

• Stock Manipulation:  Prosecution of a securities law attorney who perpetrated a stock manipulation, pump-and-dump scheme involving small cap stocks traded on the Over-the-Counter Bulletin Board.  The two-week trial resulted in an eight-year prison sentence.  Our clients rely on Steven's task force experience to help them make sure their actions do not violate federal securities laws, and to give them the best possible defense if they are pursued by law enforcement.    

 

• Foreign Exchange Fraud:  Investigation and prosecution of 13 individuals involved in a $7.9 million foreign currency exchange scheme that defrauded more than 200 investors and involved the funneling of funds overseas to Russia and Cyprus.  Herrick's commodities clients benefit from Steven's experience working with the U.S. Commodity Futures Trading Commission.  
    

As a prosecutor, Steven also investigated and prosecuted extortion, bank fraud, public corruption, identity theft, copyright and immigration crimes. He prosecuted criminal organizations distributing controlled substances and headed up a large-scale wire tap investigation involving the trafficking and seizure of significant quantities of narcotics resulting in numerous convictions. Steven handled complex sentencing, forfeiture and restitution proceedings. He tried numerous criminal cases that resulted in guilty verdicts for the government, and briefed and successfully argued numerous appeals before the Second Circuit.

Steven graduated magna cum laude from Georgetown University Law Center, where he was an editor of the law review and was selected to the Order of the Coif. After graduation, he clerked for then-Chief Judge Thomas P. Griesa of the U.S. District Court for the Southern District of New York. Following his clerkship, he spent three years at boutique litigation firm, which he left in December of 2001 to join the U.S. Attorney's Office.

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