Securities Regulatory Litigation & Compliance

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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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Professionals

Jeff Hage

Jeff Hage

Of Counsel

Jeff Hage

Jeff Hage

Of Counsel

Kevin J. O’Connor

Kevin J. O’Connor

Chair - Business Litigation

Kevin J. O’Connor

Kevin J. O’Connor

Chair - Business Litigation

Brian D. Waller

Brian D. Waller

Co-Chair - White Collar, Regulatory Compliance & Investigations

Brian D. Waller

Brian D. Waller

Co-Chair - White Collar, Regulatory Compliance & Investigations

Insights

Shared

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As previously noted, we are continuing to monitor developments with the Corporate Transparency Act (“CTA”). The U.S. Court of Appeals for the Fifth Circuit reversed its own decision and vacated its lifting of the injunction that was previously issued by Judge Amos L. Mazzant III of the Eastern District of Texas. Accordingly, the nationwide injunction ... Read More

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Expert Q&A: Responding to the Impacts of Trump Administration Tariffs on Construction Materials

In this Expert Q&A, Levi W. Barrett, co-managing partner of Peckar & Abramson’s New Jersey office, shares his insights on the latest tariffs imposed by the Trump administration on steel and aluminum materials used in construction projects. Published by Practical Law Real Estate, this Q&A provides essential guidance for contractors, owners, developers, and legal counsel ... Read More

Corporate Transparency Act Update #5: Treasury Will Not Pursue Enforcement

We are continuing to monitor developments with the Corporate Transparency Act (“CTA”). Last month, we had advised that the Supreme Court had lifted injunctions of the CTA and had recommended complying with the reporting requirements of the CTA prior to the March 21, 2025 deadline, despite pending court cases considering the constitutionality of the act. ... Read More

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Peckar & Abramson, P.C. (P&A) is pleased to announce that Gregory H. Chertoff has been named a Fellow of the American College of Construction Lawyers (ACCL). The ACCL Fellowship is invitation-only and, according to the organization, awarded to those who have mastered the practice or teaching of construction law and dispute resolution, demonstrate unwavering ethical ... Read More

Peckar & Abramson, P.C. Achieves Global Multi-Jurisdictional Ranking in Construction Law From Chambers

Peckar & Abramson, P.C. (P&A) is pleased to announce that Chambers and Partners have included P&A in the prestigious 2025 Chambers Global Guide, ranked in construction law in the Global: Multi-Jurisdictional category. With this recognition, P&A stands alone as the first and only firm to be included in this global category while also holding a ... Read More

Corporate Transparency Act Update #4: Compliance Is Again Required

We have continued to monitor developments with the constitutionality of the Corporate Transparency Act (“CTA”). In late December, the U.S. Court of Appeals for the Fifth Circuit kept the injunction of the CTA in place, while that court considered the constitutionality of the CTA. However, the federal government appealed this decision and on January 23, ... Read More

Tariffs and the Art of the Price Escalation “Deal”

“My style of deal-making is quite simple and straightforward. I aim very high, and then I just keep pushing and pushing and pushing to get what I’m after.” ― Donald Trump, Trump: The Art of the Deal This alert will focus on the steps the contracting community should consider in light of the stated intention ... Read More

Peckar & Abramson Welcomes Cornelius “Lee” Banta, Stephen Irving, Brett Moritz, and Stefanie Salomon as Partners; Announces Additional Promotions to Senior Counsel and Senior Associate

Peckar & Abramson, P.C. (P&A) is pleased to announce that Cornelius “Lee” Banta, Jr. and Stephen E. Irving of P&A’s Houston office, and Brett J. Moritz and Stefanie A. Salomon of the firm’s Miami office have been promoted to Partner. P&A is also pleased to announce the promotion of the following attorneys to the ranks ... Read More

Managing Construction Risk Through Commercial General Liability Insurance

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Corporate Transparency Act Update #3: Fifth Circuit Reinstates Nationwide Injunction

As previously noted, we are continuing to monitor developments with the Corporate Transparency Act (“CTA”). The U.S. Court of Appeals for the Fifth Circuit reversed its own decision and vacated its lifting of the injunction that was previously issued by Judge Amos L. Mazzant III of the Eastern District of Texas. Accordingly, the nationwide injunction ... Read More

In Memoriam: Roger S. Markowitz

Peckar & Abramson mourns the loss of Roger S. Markowitz, retired Partner, who passed away on March 13, 2025, at the age of 81. Roger joined P&A as a partner in January of 1998 and continued to practice with us through his retirement at the beginning of 2024. Roger was a highly respected construction lawyer, ... Read More