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Click here to find out moreJeffrey Plotkin is a Partner in the Litigation department of Finn Dixon & Herling LLP in Stamford CT. Jeff started his career in the SEC’s Enforcement Division, New York Regional Office, where he served as Staff Attorney, Chief of the Branch of Broker-Dealer Enforcement and Interpretations, and Assistant Regional Administrator.
Over the past thirty-five years in private practice, Jeff has handled scores of arbitration cases before FINRA Dispute Resolution (and its predecessors, NASD, NYSE, and AMEX), JAMS and other arbitration venues. He has represented both claimants and respondents in industry disputes (including but not limited to trading disputes, employment-related disputes, and Form U5 expungements) and customer disputes. He also has litigated motions to vacate/confirm arbitration awards in both federal and state court.
FINRA arbitration, an alternative dispute resolution process that is mandatory for most broker-dealer customer and industry disputes, is a quirky process that poses many unique and difficult challenges for legal counsel with little to no experience w...
Debra Jenks, Esq.