Securities and Financial Services Litigation

Securities and Financial Services Litigation

Tarter Krinsky & Drogin’s Securities and Financial Services Litigation Group encompasses a wealth and depth of experience in complex matters in the courts and in alternative dispute resolution. 

Tarter Krinsky & Drogin’s Securities and Financial Services Litigation Group encompasses a wealth and depth of experience in complex matters in the courts and in alternative dispute resolution. Our lawyers have broad, comprehensive understanding of securities, derivatives, financial contracts and structured transactions, and can effectively advise clients when a dispute arises as to virtually any aspect of such products. Our lawyers have the background and experience to quickly assess the respective positions of the parties and provide advice on risk and strategy for each stage of the dispute, from the first signs of discord through negotiation and litigation, whether as plaintiffs or defendants. At each stage, our lawyers’ focus is on achieving the most beneficial result for the client, and should litigation prove necessary, our lawyers have the resources and experience to vigorously pursue our client’s rights in court.

Our Securities and Financial Services Litigation Group represents a broad range of financial service companies, institutional investors, investment funds, officers and directors, other high-net-worth individuals, and domestic and overseas financial institutions, in a wide range of disputes arising in connection with debt and equity securities, derivatives, financial contracts and structured financial transactions involving privately issued debt (including Rule 144A and Reg S bonds), privately issued equity, commercial and residential mortgage-backed securities, asset-backed securities, leveraged loans, collateralized bond obligations (CBOs), collateralized loan obligations (CLOs), collateralized debt obligations (CDOs), guaranteed investment contracts (GICs), regulatory capital relief transactions, and a variety of swaps and options.

We litigate a variety of cases asserting fraud claims under the Securities Act of 1933, the Securities Exchange Act of 1934, state statutes and the common law, typically representing defendants in class actions and derivative litigation, and representing various parties in other litigation and arbitration matters. We have extensive experience representing clients asserting contract and/or tort claims arising in connection with trustee performance, servicer performance, investment manager performance, representations and warranties, application of waterfall provisions, acceleration and diversion of cash flows, creditor payment rights pre- and post-default and early contract termination provisions.

On the regulatory side, we have represented numerous clients in investigations and enforcement actions conducted by the Department of Justice, SEC, FINRA, the New York Attorney General’s Office and numerous other state and municipal agencies. Our experience includes investigations implicating the Foreign Corrupt Practices Act, federal antitrust and anti-kickback regulations, civil and criminal litigation related to mortgage fraud allegations, “honest services” employment fraud and insider trading, among others.

Name Title Direct Dial Vcard
Bernstein, Debra Bodian Counsel Counsel 212.216.8027 VCard
Coleman, Sarah E. Associate Associate 212.216.1197 VCard
Gaynor, Alan S. Partner Partner 212.216.1136 VCard
Grudberg, Michael J. Partner Partner 212.216.8035 VCard
Krinsky, Andrew N. Partner Partner 212.216.8080 VCard
Lazzaro, Brittany K Associate Associate 212.216.1130 VCard
Levinson, Gabriel Partner, CFE Partner, CFE 212.216.1133 VCard
Miller, Charles M. Partner, Co-Head of Securities and Financial Services Litigation Group Partner, Co-Head of Securities and Financial Services Litigation Group 212.216.8085 VCard
Rosner, Joel H. Associate Associate 212.216.1187 VCard
Sabbidine, Karim Associate* Associate* 212.216.8032 VCard
Schoenstein, Richard C. Partner, Co-Head of Securities and Financial Services Litigation Group Partner, Co-Head of Securities and Financial Services Litigation Group 212.216.1120 VCard
Temchin, Jonathan E. Associate Associate 212.216.1139 VCard

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