Robert C. Gottlieb &  Associates PLLC

Civil Litigation, Securities & Regulatory

Regulatory counsel to financial services companies and industry management

  • Regulatory counsel to M&A advisory firm on private placement due diligence requirements
  • Advisor to broker-dealers and investment managers during SEC SEA Rule 17a-5 audits
  • Advisor to hedge fund on “market manipulation” compliance
  • Counsel to industry executives during FINRA Rule 8210 examinations, as well as regulatory disclosure issues in connection with Form U4 filings

Complex Civil Litigation

  • Arbitration before the American Arbitration Association representing broker-dealer in fee dispute with investment advisor customer
  • Counsel to financial advisor in alleged theft of trade secrets and intellectual property from global bank holding company
  • Represented hedge fund analyst in civil matter commenced by former hedge fund employer alleging theft of trade secrets and intellectual property
  • Special counsel to Chapter 7 Trustee for a broker-dealer prosecuting civil claims against former officers and managers
  • Attorney to broker-dealer in New York State Supreme Court matter commenced by former employees on an injunctive relief application
  • Litigation Counsel to broker-dealer challenging emergency involuntary bankruptcy petition for chapter 7 trustee 
  • On behalf of broker-dealer, commenced auditor malpractice action against national accounting firm

Securities Litigation

  • Counsel to broker-dealer in parallel criminal and SEC enforcement action in FCPA investigation
  • Attorneys for investor accused of insider trading in “tippee” case commenced by the SEC

 

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