Jeff Kern is a partner in the New York office and leader of the firm’s Securities Enforcement and Litigation team. He is a seasoned financial services litigator who has conducted over 70 trials, arbitrations and regulatory hearings. His practice encompasses white collar defense, securities fraud and investment banking fee disputes, regulatory compliance, subpoena response as well as internal investigations.
Solution-oriented, focused under pressure and highly responsive, Jeff represents broker-dealers, investment advisors and other financial services firms and industry professionals who are the focus of SEC, FINRA, NYSE, DOJ, CFTC, Blue Sky and other regulatory investigations.
Jeff has extensive experience handling corporate investigations and investigative testimony, having served as Senior Enforcement Counsel at FINRA and the NYSE and Chief of Investigations at the Brooklyn District Attorney’s Office. Jeff’s work at the NYSE and FINRA included investigations, trials and appeals involving Rule 10b-5 fraud, insider trading, market manipulation, mutual fund switching, supervision, research, advertising, anti-money laundering, financial reporting, sales practice violations, outside business and trading improprieties committed on the exchange floor. He now advises clients in cases involving these issues.
A charter member of the firm’s Blockchain & Digital Assets team, Jeff has handled numerous crypto matters and assisted broker-dealers in obtaining approval to conduct a digital assets business. He also provides guidance in the FINRA membership application and business expansion process.
Jeff speaks frequently on litigation, investigative strategy and financial services issues and has appeared numerous times in print and on network television as a legal commentator.
He is a member of the New York office’s Working Group on Diversity & Inclusion.