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.