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Stamford
One Canterbury Green
201 Broad Street
Stamford, CT 06901
T: (203) 977 7547
F: (203) 901 1739
New York
7 Times Square
New York, NY 10036
T: (212) 297 5815
F: (212) 881 9037
Jeffrey Plotkin
– Partner
Prior to joining the firm, Jeff worked in the Division of Enforcement of the United States Securities and Exchange Commission, where he served, among other positions, as Assistant Regional Administrator of the New York Regional Office.
Jeff represents institutions and individuals nationwide in investigations and enforcement actions by the SEC, FINRA, and the various stock and option exchanges, and in parallel criminal investigations and prosecutions by the various United States Attorneys' Offices and State Attorney Generals' Offices.
He handles internal investigations for financial institutions and public companies, commercial litigation in federal and state court involving the securities and commodities industries, and arbitration and mediation of securities industry disputes.
He also provides consulting services to broker-dealers, investment advisers, and technology companies with respect to compliance with securities regulations.
Jeff currently is serving as the court-appointed Distribution Agent for the $65 million Fair Fund established in SEC v. McAfee, Inc. (f/k/a Network Associates, Inc.), C-06-0009 (PJH) (N.D. Cal.). For further information, please visit www.McAfeeSECsettlement.com
Professional Experience
Jeff Plotkin is the chair of the firm's Broker-Dealers, Investment Advisers and Commodities Firms practice group, and vice-chair of the firm's White Collar Defense and Internal Investigations practice group.Prior to joining the firm, Jeff worked in the Division of Enforcement of the United States Securities and Exchange Commission, where he served, among other positions, as Assistant Regional Administrator of the New York Regional Office.
Jeff represents institutions and individuals nationwide in investigations and enforcement actions by the SEC, FINRA, and the various stock and option exchanges, and in parallel criminal investigations and prosecutions by the various United States Attorneys' Offices and State Attorney Generals' Offices.
He handles internal investigations for financial institutions and public companies, commercial litigation in federal and state court involving the securities and commodities industries, and arbitration and mediation of securities industry disputes.
He also provides consulting services to broker-dealers, investment advisers, and technology companies with respect to compliance with securities regulations.
Jeff currently is serving as the court-appointed Distribution Agent for the $65 million Fair Fund established in SEC v. McAfee, Inc. (f/k/a Network Associates, Inc.), C-06-0009 (PJH) (N.D. Cal.). For further information, please visit www.McAfeeSECsettlement.com
Practice Areas |
- Broker-Dealers, Investment Advisers and Commodities Firms
- Securities Enforcement Defense
- White Collar Defense and Internal Investigations
- Distressed Assets Team
- Shareholder and Securities Litigation
- Public Companies
- Private Equity and Investment Funds
Representative Matters |
- Represent public companies, broker-dealers, and individuals in connection with insider trading investigations and actions by the SEC, FINRA, and the United States Attorneys' Offices
- Represent public companies and their executive officers, and public accounting firms and their principals, in connection with SEC investigations involving accounting and disclosure fraud
- Represent broker-dealers and their associated persons in connection with examinations, inquiries, investigations and enforcement actions by the SEC and FINRA
- Represent investment advisers and their supervised persons in connection with investigations and enforcement actions by the SEC and the various State Attorney Generals' Offices and state securities agencies
- Represent the New Mexico State Investment Council with respect to government investigations and civil recovery matters related to a "pay-to-play" scandal involving alternative investments
- Represent various entities and individuals in connection with the SIPC liquidation of Bernard L. Madoff Investment Securities LLC
- Served as the SEC-appointed "Plan Administrator" for a $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 former NYSE Rule 104(h), by conducting a 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, by conducting a review of all policies, procedures and systems for handling of customer order flow on the NYSE, and recommending amendments and revisions to the policies, procedures and systems to ensure compliance with SEC and NYSE rules
- 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
News, Publications & Presentations |
- Guest Lecturer, Subject: "Insider Trading Law for Securities Analysts," Columbia University Graduate School of Business, 1996 to the present
- Adjunct Professor of Law, Course: "Criminal Prosecution Affecting Financial Firms - A Defense Perspective," New York Law School LLM Program in Financial Services Law, 2011 to the present
- Author, "BlackBerry: The FINRA Compliant Smartphone," February 2011 (White Paper commissioned by Research in Motion Limited)
- Co-author, "Criminal Prosecutorial Discretion in Insider Trading Cases: Let's Look at the Numbers," NYLitigator, Fall 2010
- Co-author, "Confidential Commercial Documents in the SEC's Investigative Files: Caution to the Complacent," Securities Regulation Law Journal, Fall 2010
- Co-author, "SEC v. Bank of America: Back to the Drawing Board," ABA Criminal Litigation Newsletter, Winter 2010
- Author, "The Designated Third Party Requirement: The Final Frontier of SEC Rule 17a-4(f)," November 2009 (White Paper commissioned by Iron Mountain)
- 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
- 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
- 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, "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
Education |
- 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
Admissions |
- 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
Professional Affiliations |
- New York State Bar Association, Co-chair, Securities Subcommittee, White Collar Criminal Litigation Committee, Commercial and Federal Litigation Section
- Connecticut Bar Association, Federal Practice Section
- Securities Industry and Financial Markets Association, Compliance and Legal Division