Investment Management Litigation

Cadwalader defends clients in enforcement actions and investigations that are:

  • Initiated by the SEC; DOJ; United States Attorneys; FDIC; OCC; FINRA; Federal Reserve; OFAC; FTC; States attorneys general; and Congressional committees; and
  • Involving allegations of securities, banking, and accounting fraud; insider trading; broker-dealer and investment adviser compliance; deceptive trade practice; and alleged violations of the Foreign Corrupt Practices Act (“FCPA”), anti-money laundering laws, export control laws, and national security matters.

We also advise and represent clients in reaching creative resolutions (using litigation if necessary) to a wide range of disputes with investors and trading counterparties and internally among the principals of management companies and/or with employees.

5 Attorneys

Bull, Nathan Partner New York
T. +1 212 504 5752
Halper, Jason M. Partner New York
T. +1 212 504 6300
Hawkins, Howard R. Jr. Senior Counsel New York
T. +1 212 504 6422
Lofchie, Steven Partner New York
T. +1 212 504 6700
Mehta, Dorothy D. Partner New York
T. +1 212 504 6846


Dorothy D. Mehta
+1 212 504 6846
Steven Lofchie
+1 212 504 6700


March 26-27: 5th Annual Residential Mortgage Servicing Rights Conference

Partner Chris Gavin will speak on a panel addressing "Securitization & Cash Execution."

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