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.

6 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
Newell, Michael Partner London
T. +44 (0) 20 7170 8540

COVID-19 Resource Center

  • Access our insights on the impact of COVID-19 to help you navigate this unprecedented environment.

To assist individuals in working from home during the coronavirus social-distancing period, Cadwalader is providing clients and friends free access to our legal research platform, the Cadwalader Cabinet.