Securities Regulatory Litigation & Compliance

Peckar & Abramson represents clients in civil and criminal proceedings, including internal investigations, related to the regulation of financial markets and private litigation involving market participants.

Our experience includes the successful representation of public and private companies, investment banking firms, officers and directors, retail brokerages, firms specializing in trade execution and clearing, banks and other financial institutions, hedge funds and accounting firms. In addition, we represent lawyers and law firms arising out of their representations of financial market participants, as they have increasingly come under civil and regulatory focus and private litigation efforts.

Experience

Financial Market Regulation

We represent clients in government agency investigations and enforcement proceedings brought by exchanges, self-regulatory organizations, government agencies, local civil and criminal prosecutors/regulators and foreign securities regulators.

Private Litigation

We’ve achieved successful outcomes for clients in class actions, derivative lawsuits and arbitrations, including matters in which fraud and accounting irregularities were alleged.

Relevant Experience

We assist clients with issues such as:

  • Stock option grant backdating
  • Mutual fund market timing
  • Late trading
  • Allegations of market manipulation
  • Accounting and financial disclosure issues
  • Securities registration issues
  • Executive conduct and compensation
  • Sales practices
  • Failure to supervise
  • Clearing and trading irregularities
  • Trade reporting violations
  • Sales practice rule violations
  • Insider trading issues
  • Allegations of misconduct on the part of professionals (including lawyers and accountants) in public offerings and financial reporting

Regulatory and Government

We represent clients before exchanges, regulatory agencies, self-regulatory organizations including the:

  • U.S. Securities and Exchange Commission (SEC)
  • U.S. Department of Justice (DOJ)
  • Manhattan District Attorney’s Office
  • New York State Attorney General’s Office
  • Financial Industry Regulatory Authority (FINRA, formerly known as NASD)
  • U.K. securities regulators
  • Swiss securities regulators

We have successfully dealt with agencies including the SEC, U.S. DOJ, local prosecutors such as the Manhattan DA’s Office, the Financial Industry Regulatory Authority (formerly known as the NASD), the New York and American Stock Exchanges and state securities agencies. Our in - depth command of the regulatory and compliance environment is key to protecting our clients' business and their personal interests.

THOMAS J. CURRAN
Partner
New York, NY
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Related Practice Areas

Insights

  • Peckar & Abramson Publishes Its Inaugural Issue of Our Government Contract’s Blog – GovConLaw

    Peckar & Abramson is committed to delivering timely, relevant content that is both substantive and practical in order to help readers become better informed about the issues affecting contractors doing business with the Federal Government. That’s why we’re pleased to introduce this new blog. Our goal is to provide clear and practical legal insights on […]

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    Peckar & Abramson, P.C. (P&A) is pleased to announce that nine of its attorneys in our Washington, DC office have been named 2018 Super Lawyers®.   Each attorney is being honored for their ongoing leadership and achievements in the field of construction law. “Our Washington, D.C. office and the sought after, experienced attorneys recognized by Super […]

  • Stephen Katz and Abby Weiner Co-Author Article in ConsensusDocs Newsletter

    Stephen P. Katz, and Abby Weiner, Partner and Senior Counsel, respectively, in the firm’s New Jersey office, co-authored a bylined article entitled “Potential Risks of Taking Equity Stakes in Construction Projects” that published in the April 2018 issue of AGC of America’s Newsletter ConsensusDocs. The article describes the risks and rewards, and issues to be […]

  • Partners Jerry P. Brodsky and Frank M. Rapoport Co-Author Article in National Association of Surety Bond Producers Spring 2018 Issue

    Frank M. Rapoport, Partner in the firm’s New York office, and Jerry P. Brodsky, Partner in the firm’s Miami office and Director of the Latin American Practice Group, co-authored an article for the Spring 2018 issue of the National Association of Surety Bond Producers entitled “Bonding the Rapidly Growing and Changing P3 Market in the […]

  • Oleysa Sidorkina Joins Peckar & Abramson’s Washington, DC Office

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  • Jacqueline Voronov Joins Peckar & Abramson’s New Jersey Office as a Senior Associate

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  • Nathan A. Cohen Re-Joins Peckar & Abramson’s Los Angeles Office

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  • Karla Pascarella Participates in Panel Discussion at the University of Texas School of Law

    Karla Pascarella, Partner in the firm’s Austin office, will participate as a panel member at the International Law Section of The State Bar of Texas on Tuesday, April 10, 2018, at the University of Texas School of Law in Austin, Texas.  The presentation tilted, “International Law and Business in the Cyber Era” will feature a […]

  • Meredith N. Reynolds Participates In American Bar Association Telephonic Presentation

    On March 1, 2018, Meredith Reynolds, Senior Associate in the firm’s Miami office, participated in a telephonic presentation with the American Bar Association Forum on Construction Law on the recent opinion issued by the Supreme Court of Florida in Altman v. Crum & Forster. The Court in Altman recognized for the first time that Florida’s […]

  • Peckar & Abramson’s Austin Office Sponsors Construction Leadership Counsel Crawfish Boil

    Peckar & Abramson’s Austin office sponsored the Construction Leadership Counsel (CLC) Crawfish Boil on April 4, 2018.  See attached picture – JD Holzheauser of Peckar & Abramson, Kelly Pettersen of Spire Consulting and David Deschaine of Alterman.  Pictured from left to right – JD Holzheauser of Peckar & Abramson, Kelly Pettersen of Spire Consulting and […]

  • Peckar & Abramson Celebrates 40 Year Anniversary Serving The Construction Industry

    Peckar & Abramson, P.C. (P&A) is pleased to announce that the firm celebrates its 40th anniversary this month.  P&A’s reputation as the ‘go-to’ law firm for leading general contractors, construction managers and other companies and organizations across the construction industry was developed over four decades of service – always with our commitment to clients at […]

  • Tracey L. Williams Authors Article in Dallas Bar Association’s Headnotes

    Tracey L. Williams authored an article in the Dallas Bar Association’s Headnotes, published January 2018, Volume 43, Number 1. The article titled, “What? You are Foreclosing? A Mechanic’s Lien Nightmare!,”  The article explains what a Mechanic’s Lien is which may be issued demanding payment for labor and/or material used in a home’s construction. Further, the […]

  • Alexa L. Magrath Joins Peckar & Abramson’s Los Angeles Office

    Peckar & Abramson, P.C. (P&A) is pleased to announce that Alexa L. Magrath has joined the firm’s Los Angeles office as an associate. Magrath has expertise in complex construction defect cases as well as managing cases through all states of litigation including research, discovery, defense, client management, depositions and trial preparation. She was formerly an […]

  • Robert Bell Joins Peckar & Abramson’s New York Office

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  • Twenty-Two Peckar & Abramson Attorneys Named 2018 Super Lawyers®

    Peckar & Abramson, P.C. (P&A) is pleased to announce that twenty-two (22) attorneys at the firm have been named 2018 Super Lawyers®. Attorneys in our New Jersey, California, Illinois and Texas* offices are being honored for their ongoing leadership and achievements in the field of construction law. Following a rigorous peer-review process, P&A’s accomplished team […]

  • JD Holzheauser Authors Article on Drones in Construction in the AGC Law In Brief Newsletter

    JD Holzheauser, an Associate in Peckar & Abramson’s Houston office, authored an article entitled “Drones in Construction” which published in the Association of General Contractors AGC Law in Brief on March 20, 2018.  The article discusses the increasing popularity of drones in the construction industry including information on regulations, insurance, private versus public space and […]

  • The Impact of New Tariffs on the Construction Industry – Suggested Steps to Protect Your Interests

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  • CASEY J. RAHN Joins Peckar & Abramson’s New York Office

    Peckar & Abramson, P.C. (P&A) is pleased to announce that Construction Attorney Casey J. Rahn has joined the firm’s New York office as an Associate.  Mr. Rahn focuses his practice on construction disputes, mechanics liens, impact claims, subcontractor defaults, public-private partnerships and corporate compliance.  He previously served as a Summer Associate/Law Clerk with Peckar & […]

  • Frank M. Rapoport Speaks at Jigme Singye Wangchuck School of Law in the Kingdom of Bhutan

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  • Christopher A. Ruhman Joins Peckar & Abramson’s Houston Office

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