Professional Experience

• Represented public companies, executive officers of public companies, and auditing firms in connection with various SEC investigations involving accounting and disclosure fraud
• Represented public companies and individuals in connection with various insider trading investigations and actions by the SEC, Department of Justice, and FINRA
• Represented broker-dealers and their associated persons in connection with examinations, inquiries, investigations and enforcement actions by the SEC, FINRA, and the Connecticut Department of Banking, covering a wide range of subject matters
• Represented a pension fund in connection with the SIPC liquidation of Bernard L. Madoff Investment Securities LLC
• Represented a registered options trader in connection with an American Stock Exchange disciplinary proceeding involving proprietary purchase and sale of option contracts ahead of customer orders
• Represented the chief investment officer of the investment adviser to a mutual fund family in a public investigative proceeding brought by the New York State Attorney General's Office involving market timing of mutual funds
• Represented an investment adviser in SEC investigations and enforcement action concerning market timing and late trading of mutual funds, and in related private class actions and derivative suits
• Represented a securities analyst in an NYSE disciplinary proceeding involving improper disclosure to institutional customers of an impending stock rating downgrade
• Represented a broker-dealer and securities analyst before the NASD's National Adjudicatory Committee in an appeal of the first litigated disciplinary proceeding involving the analyst disclosure provisions of NASD Rule 2711
• Represented a news organization in connection with SEC investigations concerning the dissemination of false rumors
• Represented a hedge fund executive in connection with the New York State Attorney General's investigation concerning the subprime mortgage-backed securities market
• Represented a derivatives portfolio manager in connection with an SEC investigation involving the failure of a mutual fund to make adequate disclosure of its derivatives trading strategies and risk
• Represented the Chief Risk Officer of a futures trading firm in connection with a CFTC and internal corporate investigation concerning substantial trading losses suffered by the firm resulting from unauthorized after-hours trading by an employee
• Conducted an internal investigation for a public company concerning improper revenue recognition by third party vendors
• Conducted an internal investigation for a financial institution concerning a whistleblower complaint alleging fraud, falsification of records, corruption and mismanagement, and violations of anti-money laundering and other securities and banking laws
• Represented a commodity futures commission merchant in a case before the United States Supreme Court concerning the right to bring a private action against a futures exchange for damages caused by the exchange's failure to enforce its rules
• Serving as court-appointed "Distribution Agent" for $50 million Fair Fund, SEC v. McAfee, Inc., C-06-0009 (PJH) (N.D. Cal.)
• Served as SEC-appointed "Plan Administrator" for $50 million Fair Fund, In the Matter of Morgan Stanley, DW, Inc., Exchange Act Release No. 52482 (September 21, 2005)
• Served as "Independent Third Party Auditor" for a NYSE specialist firm pursuant to NYSE Rule 104(h), conducting review of all specialist systems employing algorithms and all algorithms to ensure that they operated in accordance with SEC and NYSE rules
• Served as "Independent Consultant" for a NYSE specialist firm pursuant to settlements with the SEC and NYSE of enforcement actions concerning interpositioning and trading ahead of customer orders on the NYSE

• Guest Lecturer, Columbia University Graduate School of Business, "Insider Trading Law for Securities Analysts," 1996 to the present
• Panelist, "Treasury's Proposed Regulator Overhaul - Implications for Technology," Second Annual SecuritiesTech Conference, sponsored by Securities Industry News, October 6, 2008, New York City
• Panelist, "Global EDiscovery: Cross-Border Employees And Privacy Protocols For Cross-Border Discovery In U.S. Civil Litigation And Investigations," IQPC eDiscovery Conference for the Financial Service Industry, February 29, 2008, New York City
• Author, "BlackBerry in the Regulatory Spotlight: FINRA Provides Compliance Guidance to Member Firms Regarding 'Non-Member E-Mail Platforms' and 'Personal Electronic Communications Devices,'" February 2008 (White Paper commissioned by Research in Motion Limited)
• Co-author, "Responding To SRO Market Surveillance Inquiries Into Potential Insider Trading," The Metropolitan Corporate Counsel, October 2007
• Co-author, "Securities Class Action Settlements - How Corporate Governance Reform Has Played a Role in the Process," New York Law Journal, September 20, 2007
• Panelist, "Electronic Message Surveillance Webinar: Industry Trends in Response to NASD Supervision Requirements," sponsored by Fortiva, Inc., January 18, 2007
• Panelist, "Electronic Messaging Lifecycle Management," sponsored by Mercury Technologies, Inc. and Fortiva, Inc., New York City, September 14, 2006
• Interview, "Q&A with Jeffrey Plotkin, Attorney At Law, Partner, Pitney Hardin LLP," by The Electronic Communications Compliance Council, July 31, 2006
• Co-author, "The Act-Of-Production Privilege in SEC Proceedings," The Review of Securities & Commodities Regulation, Vol. 39, No. 1, January 4, 2006
• Author, "SEC Enforcement Actions: Show Me the Money," New York Law Journal, December 19, 2005
• Panelist, "How to Handle SEC Investigations from the Informal Investigation Stage to the Conclusion of the Wells Notice Process," Broker-Dealer Enforcement Conference, sponsored by American Conference Institute, October 24, 2005, New York City
• Panelist, "The Evolution of Electronic Discovery and its Impact on the Corporate World," an online interactive seminar sponsored by Iron Mountain and moderated by Securities Industry News, September 27, 2005
• Author, "The Designated Third Party Requirement: The Final Frontier of SEC Rule 17a-4(f)," August 2005 (White Paper commissioned by Iron Mountain, Inc.)
• Panelist, "Compliance: Can Your Company Withstand SEC Scrutiny?" an online interactive seminar sponsored by Iron Mountain and moderated by Securities Industry News, April 28, 2005
• Panelist, "Corporate Governance and the Role of IT," a roundtable discussion moderated by Economist Magazine, Veritas Vision Conference, San Francisco, California, April 25, 2005
• Co-chair, Broker/Dealer Information Management Conference, sponsored by American Conference Institute, March 17-18, 2005, New York City; Panelist, "Meeting Storage Requirements for E-Mail, Instant Messages, and Electronic Documents;" Panelist and Moderator, "Practical Solutions, Integrating a Compliant and Effective Data Management Program into Corporate Culture"
• Author, "E-Mail Discovery in Civil Litigation: Worst Case Scenarios vs. Best Practices," April 2004 (White Paper commissioned by KVS, Inc.)
• Author, "The Tipper Benefit Test Under the Misappropriation Theory," New York Law Journal, August 15, 2003
• Author, "Broker-Dealer Regulations Concerning E-Mail," New York Law Journal, December 4, 2002

• New York Law School, J.D., cum laude, 1986, editor, N.Y.L.S. Journal of Int'l and Comp. Law; Honors Internship, New York Stock Exchange, Inc., Division of Enforcement, 1985; Internship, New York State Attorney General's Office, Investor Protection and Securities Bureau, 1984-1985
• University of Arizona, B.A., 1981

• State of Connecticut, 1986
• State of New York, 1987
• U.S. District Court, Southern District of New York, 1987
• U.S. District Court, Eastern District of New York, 1988
• U.S. Court of Appeals for the Second Circuit, 1991
• U.S. Supreme Court, 2007

• American Bar Association
• New York State Bar Association, Co-chair, Securities Subcommittee, White Collar Criminal Litigation Committee, Commercial and Federal Litigation Section
• Connecticut Bar Association
• Securities Industry and Financial Markets Association, Compliance and Legal Division