Partner; Co-Chair Securities and Commodities Litigation and Regulatory Practice Group
New York
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| Phone: | (212) 592-1516 |
| Fax: | (212) 545-3320 |
Securities and Derivatives Litigation and Regulatory GroupClass Action Defense
White Collar Defense
Litigation
Brooklyn Law School, J.D., 1988
University of Massachusetts
cum laude
New York
U.S. District Court, S.D. New YorkU.S. District Court, E.D. New York
U.S. District Court, Dist. of Colorado
U.S. Court of Appeals, 2nd Cir.
U.S. Court of Appeals, 5th Cir.
New York City Bar Committee on Futures and Derivatives Regulation
Therese M. Doherty is a senior partner in Herrick's Litigation Department, and Co-Chair of its Securities and Commodities Litigation and Regulatory Practice Group. Therese's practice is focused on derivatives, futures and securities in civil litigations, including class actions and arbitrations, as well as regulatory investigations and enforcement proceedings. She regularly advises and defends broker-dealers, futures brokerages, banks and other global financial institutions. Clients also rely upon Therese to lead internal investigations.
Therese has extensive trial and arbitration experience and appears in federal and state courts around the country and different arbitration forums, including FINRA, the NFA and various commodity and security exchanges. Therese's practice regularly involves complex claims of fraud, violations of commodities and securities laws, RICO violations, and accounting improprieties.
Therese's regulatory practice includes defending firms and individuals in investigations and enforcement and administrative proceedings initiated by the CFTC, SEC, U.S. Attorney's Offices, Attorneys General, self-regulatory organizations, including the NFA and FINRA, and various commodity and security exchanges. She also represents financial institutions in employment related matters, including recruitment disputes, restrictive covenants and issues involving Forms U-4, U-5 and 8T.
Futures Commission Merchant - Bankruptcy Trustee Claims
Defend an FCM against a Bankruptcy Trustee's allegations that funds transferred to the debtor's trading account were fraudulent transfers and, although largely lost in futures trading, should be returned to the estate by the FCM.
Futures Commission Merchant - Class Action
Defend an FCM in a class action lawsuit against claims alleging that the firm engaged in, or assisted, a scheme to manipulate the prices of palladium and platinum futures contracts traded on NYMEX.
Futures Commission Merchant - Fraud Claims
Defended a Futures Commission Merchant ("FCM") in a federal civil lawsuit alleging that a former employee of the FCM assisted the employees of a bank to overvalue the bank's over-the-counter natural gas options book. Damages in excess of $500 million were sought.
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