Therese Doherty is co-chair of Herrick’s Litigation Department, and practice group leader of the firm’s Securities, Futures & Derivatives Litigation Practice.
Therese represents banks, broker-dealers, futures commission merchants and industry executives in complex civil litigation, regulatory enforcement proceedings and internal investigations involving securities, futures and derivatives. She regularly counsels clients on high-stakes litigation strategy, including the handling of corporate crises and internal investigations. She also develops policies, procedures and controls and provides incisive regulatory compliance counseling.
A tenacious, creative and accomplished trial lawyer, Therese has an extensive record of success in federal and state jury and bench trials, and in arbitrations before self-regulatory agencies and various commodity and security exchanges. She has an exceptional record defending firms and individuals in investigations and enforcement proceedings initiated by government agencies including the CFTC, SEC and DOJ, self-regulatory organizations including the NFA and FINRA, and futures and derivative exchanges.
Therese has consistently been rated one of the country’s top securities lawyers by U.S. Legal 500, which calls her an “excellent partner to clients,” and hails her “ferocity, intelligence and perseverance in litigation” and “depth of industry knowledge.” Her numerous successes for clients have involved a wide range of regulatory concerns, including spoofing, wash trades, market manipulation, high-frequency trading, swap data repositories and the setting of LIBOR rates, as well as matters involving accounting improprieties, allegations of fraud, RICO violations and other complex concerns.
Leading financial institutions also call on Therese for employment related matters, including recruitment and restrictive covenant disputes. She has consistently achieved successful results for clients on both sides of preliminary injunction hearings seeking to enforce restrictive covenants.
Memberships & Associations
- New York City Bar Association
- Futures and Derivatives Committee