Band 2
Provided by Jeffrey Plotkin
SEC Investigations & Examinations;
White-Collar Defense;
Complex Civil Litigation;
Internal Investigations;
Investment Adviser & Broker-Dealer Registration and Compliance
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Partner, Day Pitney LLP;
Associate, Morvillo, Abramowitz, Grand, Iason & Silberberg, P.C.;
Assistant Regional Administrator, Division of Broker-Dealer Enforcement, Securities and Exchange Commission, New York Regional Office.
State Court Admissions: Connecticut and New York
Federal Court Admissions: United States Supreme Court; United States Court of Appeals for the Second Circuit: United States District Courts for the District of Connecticut, Southern District of New York, and Eastern District of New York.
Chairman, Connecticut Legal Services, Inc.
New York State Bar Association, White Collar Criminal Litigation Committee, Commercial and Federal Litigation Section (Former Co-Chair, Securities Subcommittee)
Connecticut Bar Association, Federal Practice Section
American Bar Association, Business Law Section
"BlackBerry: The FINRA Compliant Smartphone," February 2011 (White Paper commissioned by Research in Motion Limited)
"Criminal Prosecutorial Discretion in Insider Trading Cases: Let's Look at the Numbers," NYLitigator, Fall 2010 (principal author)
"Confidential Commercial Documents in the SEC's Investigative Files: Caution to the Complacent," Securities Regulation Law Journal, Fall 2010 (co-author)
"SEC v. Bank of America: Back to the Drawing Board," ABA Criminal LitigationNewsletter, Winter 2010 (co-author)
"The Designated Third Party Requirement: The Final Frontier of SEC Rule 17a-4(f)," November 2009 (White Paper commissioned by Iron Mountain) (republished February 2012)
"Responding To SRO Market Surveillance Inquiries Into Potential Insider Trading," The Metropolitan Corporate Counsel, October 2007 (co-author)
"Securities Class Action Settlements - How Corporate Governance Reform Has Played a Role in the Process," New York Law Journal, September 20, 2007 (co-author)
"Reaping the Benefits of Electronic Message Surveillance," 2006 (report of broker-dealer survey conducted with Fortiva, Inc.) (co-author)
"The Act-Of-Production Privilege in SEC Proceedings," The Review of Securities & Commodities Regulation, Vol. 39, No. 1, January 4, 2006 (co-author)
"SEC Enforcement Actions: Show Me the Money," New York Law Journal, December 19, 2005
"The Tipper Benefit Test Under the Misappropriation Theory," New York Law Journal, August 15, 2003
"Broker-Dealer Regulations Concerning E-Mail," New York Law Journal, December 4, 2002
Provided by Chambers
Jeffrey Plotkin has a wide-ranging securities regulatory practice, which sees him regularly engaged by senior executives and public companies in SEC matters.
