Jeffrey Plotkin practices in the areas of securities enforcement, securities compliance, internal corporate investigations, complex private securities litigation and arbitration, and white collar criminal defense.
Mr. Plotkin started his legal career in the SEC's Division of Enforcement, New York Regional Office, where he served as Staff Attorney; Chief of the Branch of Broker-Dealer Enforcement; and Assistant Regional Administrator.
Recent matters include:
Mr. Plotkin has handled a variety of independent regulatory projects, including:
Immediately prior to joining Finn Dixon & Herling LLP in March 2012, Mr. Plotkin was a Partner of Day Pitney LLP in New York City and Stamford, CT. He previously was an Associate of Morvillo, Abramowitz, Grand, Iason & Silberberg, P.C. in New York City.
Author, "BlackBerry: The FINRA Compliant Smartphone," February 2011 (White Paper commissioned by Research in Motion Limited) Download Here
Co-author, "Criminal Prosecutorial Discretion in Insider Trading Cases: Let's Look at the Numbers," NYLitigator, Fall 2010 Download Here
Co-author, "Confidential Commercial Documents in the SEC's Investigative Files: Caution to the Complacent," Securities Regulation Law Journal, Fall 2010 Download Here
Co-author, "SEC v. Bank of America: Back to the Drawing Board," ABA Criminal Litigation Newsletter, Winter 2010 Download Here
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) Download Here
Author, "BlackBerry in the Regulatory Spotlight: FINRA Provides Compliance Guidance to Member Firms Regarding 'Non-Member E-Mail Platforms' and 'Personal Electronic Communications Devices,'" February 2008 (White Paper commissioned by Research in Motion Limited)
Co-author, "Responding To SRO Market Surveillance Inquiries Into Potential Insider Trading," The Metropolitan Corporate Counsel, October 2007 Download Here
Co-author, "Securities Class Action Settlements - How Corporate Governance Reform Has Played a Role in the Process," New York Law Journal, September 20, 2007 Download Here
Co-Author, "Reaping the Benefits of Electronic Message Surveillance," 2006 (report of broker-dealer survey conducted with Fortiva, Inc.) Download Here
Co-author, "The Act-Of-Production Privilege in SEC Proceedings," The Review of Securities & Commodities Regulation, Vol. 39, No. 1, January 4, 2006 Download Here
Author, "SEC Enforcement Actions: Show Me the Money," New York Law Journal, December 19, 2005 Download Here
Author, "E-Mail Discovery: Worst Case Scenarios vs. Best Practices," 2004 (White Paper commissioned by Veritas/Symantec, Inc.) Download Here
Author, “Corporate Governance – The Impact on your IT Staff,” September 5, 2003 (White Paper commissioned by Veritas/Symantec)
Author, "The Tipper Benefit Test Under the Misappropriation Theory," New York Law Journal, August 15, 2003 Download Here
Author, "Broker-Dealer Regulations Concerning E-Mail," New York Law Journal, December 4, 2002 Download Here
Panelist, “Enforcement 2015 – New Priorities, Initiatives and Latest Developments,” Regulatory Compliance Association Symposium, “Compliance, Risk & Enforcement – New York 2015,” November 3, 2015, New York City
Panelist, “FINRA’s Guidance for Securities Traders Using Algorithmic Trading Strategies: A Perspective,” Knowledge Group webcast, October 27, 2015
Panelist, "SEC Initiates Flash Boy Regulations – A Comprehensive Analysis," Regulatory Compliance Association, Practice Edge Webinar, October 7, 2014
Adjunct Professor of Law, Course: "Criminal Prosecution Affecting Financial Firms - A Defense Perspective," New York Law School LLM Program in Financial Services Law, Spring 2011
Guest Lecturer, Subject: "Insider Trading Law for Securities Analysts," Columbia University Graduate School of Business, 1996 to 2010
Panelist, "Treasury's Proposed Regulator Overhaul - Implications for Technology," Second Annual SecuritiesTech Conference, sponsored by Securities Industry News, October 6, 2008, New York City
Panelist, "Global EDiscovery: Cross-Border Employees And Privacy Protocols For Cross-Border Discovery In U.S. Civil Litigation And Investigations," IQPC eDiscovery Conference for the Financial Service Industry, February 29, 2008, New York City
Panelist, "How to Handle SEC Investigations from the Informal Investigation Stage to the Conclusion of the Wells Notice Process," Broker-Dealer Enforcement Conference, sponsored by American Conference Institute, October 24, 2005, New York City
Co-chair, Broker/Dealer Information Management Conference, sponsored by American Conference Institute, March 17-18, 2005, New York City; Panelist, "Meeting Storage Requirements for E-Mail, Instant Messages, and Electronic Documents;" Panelist and Moderator, "Practical Solutions, Integrating a Compliant and Effective Data Management Program into Corporate Culture"
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
Westport Arts Center, Board of Directors, 2014 – Present