Jeffrey Plotkin offers a broad range of legal services related to the securities industry, including:

• ENFORCEMENT DEFENSE - representing clients in connection with examinations, inquiries, investigations, and actions by the SEC, New York Stock Exchange, NASD Regulation, American Stock Exchange, New York State Attorney General's Office, state securities agencies, and Department of Justice.
  
  Clients include broker-dealers, investment bankers, securities analysts, traders, registered representatives, investment advisers, public companies and their officers and directors, hedge funds, accountants, promoters, and private investors. Extensive experience in matters involving insider trading, broker-dealer regulations, mutual fund regulations, securities fraud, investment adviser fraud, and public company disclosure.
  
  
• ARBITRATION AND LITIGATION - representing clients in securities arbitration and litigation, including disputes between securities firms, disputes between securities firms and their customers, disputes between securities firms and their employees, and disputes among owners of securities firms.
  
  Extensive experience handling arbitrations at the NASD, New York Stock Exchange, and American Stock Exchange, and handling private securities and commodities litigation in federal court. Typical cases unsuitable investments, unauthorized transactions, churning, misrepresentations concerning investments, stock manipulation, margin violations, improper trade execution, securities trading and settlement disputes, employment termination and compensation, violations of restrictive employment covenants, regulatory disclosure, and antitrust violations.
  
  
• COUNSELING AND COMPLIANCE - counseling broker-dealers, registered representatives, investment advisers, public and private companies, hedge funds, technology vendors, other securities professionals, private investors, regarding registration, compliance, reporting, disclosure, and trading issues.
  
  Projects include serving as "Independent Consultant" to broker-dealers pursuant to settlements of enforcement matters with the SEC, NYSE, and NASD Regulation; assisting broker-dealers in the registration process with the SEC and the states; assisting broker-dealers in the membership and continuance process with the NASD; counseling broker-dealers with respect to regulatory examinations and audits; drafting broker-dealer compliance and supervisory procedures; counseling investment advisers with respect to fees and disclosure; counseling public companies concerning prospectus and reporting disclosure; and counseling technology vendors with respect to applicable securities laws.

Mr. Plotkin is a partner with the law firm of Day Pitney LLP in New York City. Click here to view the firm's web site.