Herrick's securities litigators have a keen understanding of the financial services industry, its governing statutory and regulatory schemes, and the full range of complex financial products including funds, exchange-traded securities, futures, swaps and over-the-counter derivatives.

Our team includes former federal and state prosecutors, regulators and in-house counsel who defend banks, broker-dealers, swap dealers, FCMs and other market participants in regulatory investigations, enforcement actions and administrative proceedings involving the SEC, CFTC, FINRA, NFA and other self-regulatory organizations. We also defend clients in civil litigations, and criminal investigations and prosecutions.

Clients benefit from our responsive culture, and an exceptional level of partner involvement in every matter. Our clients also have the advantage of being represented by trial lawyers with significant experience in state and federal courts, and a deep understanding of the New York State Court System.

Areas of Focus:

  • Shareholder class action and derivative claims
  • Internal investigations
  • Securities and commodities fraud claims
  • Sales practice abuses and disruptive trading practices
  • Market manipulation and antitrust claims
  • Insider trading claims
  • Misleading investment disclosures
  • Customer disputes
  • Whistleblower claims