Matthew C. Plant

Principal

  • Direct 212.510.6906
  • Fax 212.425.9337
Matthew C. Plant
Matthew C. Plant

“We are very aware of our clients’ cost considerations, while still remaining focused on quality.  With our flexible approach, we are able to provide superior work product and results at a much lower cost than many larger firms.”

Matt Plant focuses in securities litigation and regulatory law.  He has appeared on behalf of corporate and institutional clients in federal and state courts in New York and New Jersey, and at arbitrations before various self-regulatory organizations. He also represents individual registered representatives and corporate clients in connection with self-regulatory organizations and state investigations and inquiries.

Over the past years, Matt has personally witnessed product failures that have resulted in complex litigation for his clients.  These failures have included hedge funds and structured products, among other examples.  Matt is highly adept in guiding his clients beyond such obstacles and in overcoming financial product specific litigation claims.

Because Matt understands how financial products and services are structured and managed, his ability to work with witnesses involved in litigation claims is highly developed, and frequently a competitive edge for his clients.  Often in partnership with in-house counsel, Matt has worked with his clients to ensure that such matters are handled in a consistent fashion and as efficiently as possible, never losing sight of achieving a positive result.

Currently, Matt lives in Norwood, NJ with his wife, daughter and cocker spaniel.  A sports enthusiast, he enjoys training for and competing in triathlons and playing golf.

Matt’s experience includes regulatory matters and traditional customer initiated arbitrations involving claims of suitability, churning, failing to diversify and misrepresentations.  Over the past five years in particular, he has defended claims arising from the failure of a series of two hedge funds, where he serves on the lead defense team.  In tandem with three additional regional firms, Matt shaped and coordinated litigation strategy and discovery on a global scale, as well as represented the client in settlement negotiations, mediations and arbitration hearings.   

A sampling of Matt’s recent arbitration victories include:

  • Heinzerling v. Citigroup: represented Citigroup in connection with claims arising out of the failure of the MAT hedge fund, where the claimant’s claims were denied in their entirety
  • Fischer v. Citigroup:  represented Citigroup in connection with claims arising out of the failure of the MAT hedge fund, where the claimant’s claims were denied in their entirety
  • Tandler v. First Republic:  represented First Republic in connection with claims arising out of the failure of a municipal arbitrage hedge fund, where the claimant’s claims were denied in their entirety
  • Eickhoff v. Edward Jones:  represented Edward Jones in connection with a claim of an unauthorized sale of stock of an elderly client, where the claimant’s claims were denied in their entirety and the Panel recommended the expungement of the matter from the Registered Representative’s CRD record

A selection of representative cases includes:

  • Covina 2000 Ventures Corp. v. Merrill Lynch:  represented Merrill Lynch in connection with claims arising out of wire transfers based on allegedly fraudulent letters of authorization.  The SDNY granted Bressler’s summary judgment motion and dismissed the case based on the UCC’s one year statute of repose.  Further represented Merrill Lynch before the Second Circuit Court of Appeals, which affirmed the District Court’s decision
  • Broad-Bussel Family Limited Partnership v. Bayou Group, LLC:  successfully opposed class certification on behalf of the Hennessee Group LLC, a hedge fund advisor, in connection with a purported class action relating to a third party hedge fund that turned out to be a Ponzi scheme