Individual Representations

 

A government or other regulatory investigation can be one of the most stressful experiences a person can face.  But you do not have to handle it alone.  Mr. Wasserman has spent the majority of his career aiding individuals facing government and regulatory investigations and their legal and real life consequences.  Not only will Mr. Wasserman serve as a your strongest advocate, but he will be a dedicated ally to help you navigate these difficult waters with care and compassion.

Over his career, Mr. Wasserman has defended numerous financial services professionals -- from the most senior financial industry executives (such as the independent directors of Lehman Brothers and the CEOs of global investment banks) to traders and back office staff at the early stages of their careers.  He gives the same time and attention to all his clients – understanding that he is helping to protect their livelihood, their reputation, and their families.

Mr. Wasserman has successfully represented clients in nearly every major investigation facing the financial services industry over the past 20 years – often helping them resolve their cases without any charges.  Such matters have included investigations by the SEC, the Department of Justice, the New York Attorney General, and FINRA into such allegations as:

  • Insider Trading

  • Expert Networks

  • Conflicts of Interest

  • Foreign Corrupt Practices Act

  • Gifts & Entertainment

  • LIBOR

  • Finite Insurance

  • Concerted Action 

  • Conspiracy & RICO

  • Auction Rate Securities

  • Securities Fraud

  • Immigration Fraud

  • Late Trading

  • Market Timing

  • Market Manipulation

In addition to regulatory investigations, Mr. Wasserman has extensive experience representing finance industry executives in securities and other complex litigations.  Among other matters, he has represented:

  • the independent directors of Lehman Brothers in numerous federal securities law, bankruptcy, and state litigations arising out the bank’s collapse;

  • the former CEO of the New York Stock Exchange in cases arising out of the exchange going public through its merger with Archipelago;

  • the former CEO of Merrill Lynch in multi-district securities litigation relating to Merrill's acquisition by Bank of America; and

  • the former CFO of Bank of America in a securities class action concerning mortgage backed securities repurchases.

Please contact August Way for a confidential complimentary consultation to see how Mr. Wasserman can help you navigate your individual situation.