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

Contact(s)

Steven Lofchie
+1 212 504 6700 
steven.lofchie@cwt.com
v-card
Dorothy D. Mehta
+1 212 504 6846 
dorothy.mehta@cwt.com
v-card

CadwaladerNews

CadwaladerSpotlight

June 5-7: AFME & IMN Present The 22nd Annual Global ABS

Stephen Day, Nick Shiren and Daniel Tobias will speak at this industry event in Barcelona.

Cadwalader's research and intelligence platform provides analysis on changes in U.S. financial regulation. Subscribers receive a daily newsletter interpreting new laws, rules and enforcement actions that impact financial institutions.