Regulatory and Securities Matters

Kaplan Hecker & Fink lawyers have represented some of the country’s leading financial institutions and commercial businesses in regulatory proceedings, including securities enforcement proceedings.  We have represented clients in meetings with and proceedings before the Department of Justice, the Securities & Exchange Commission, the Commodity Futures Trading Commission, the Federal Trade Commission, the New York, California, and Massachusetts Attorneys General, and numerous other government agencies.  As a result of this experience, Kaplan Hecker & Fink lawyers have developed expertise in navigating the interplay between investigations and the onslaught of shareholder, investor and counter-party lawsuits that often follow even favorable public resolutions. In addition, Kaplan Hecker & Fink advises companies in connection with regulatory developments and government relations issues, including with respect to potential challenges to rulemaking and enforcement proceedings.

Prior to joining Kaplan Hecker & Fink, some of our lawyers’ representative regulatory and securities matters included:

  • Represented the former global head of structured-products ABS collateralized debt obligations at a major investment bank in an SEC inquiry into the offering of notes in a synthetic CDO.
  • Represented several individuals in the SEC’s investigation of sales of CDOs backed by subprime mortgages.
  • Represented several individuals in stock options back-dating investigations conducted by the United States Attorney’s Office for the Eastern District of New York, the SEC, and the New York County District Attorney’s Office.
  • Represented multiple individuals at various financial institutions in DOJ and CFTC investigations relating to foreign exchange trading practices.
  • Represented a hedge fund founder in DOJ and SEC investigations of potential insider trading.
  • Represented a major investment bank in federal and state regulatory investigations relating to mortgage origination, underwriting and securitization practices.
  • Represented Fitch Ratings in regulatory investigations relating to RMBS, CDO, and municipal bond transactions from 2007 through the most recent financial crisis.
  • Represented major Fortune 500 insurance company in investigations in more than 40 states, as well as accounting/reinsurance investigations by the Department of Justice, Securities & Exchange Commission, Internal Revenue Service and nine state regulators—in addition to related derivative and securities lawsuits.
  • Represented and advised startup company Handy on variety of regulatory matters.
  • Represented large startup company in a proceeding against the New York Attorney General, in which a subpoena seeking vast amounts of company’s user data was quashed, as well as in two purported class actions pending in the Southern District of New York.
  • Represented startup taxi e-hail application Hail-o in opposing a stay of implementation of new rules promulgated by New York City Taxi and Limousine Commission before the New York Appellate Division, First Department.