Matthew Plant focuses his practice on Financial Institutions 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.
Matt is also a member of Bressler's Senior and Vulnerable Investor Group. The lawyers in this group have a shared interest in providing counsel to corporate clients who confront issues affecting seniors.
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
News & Insights
Speaking Engagements & Events
- Webinar, 10.04.2019
- eDiscovery 101 - What You Need to Know and Tips to Protect Yourself and Your Clients: A Lawline Webinar Presented by David Butler and Matthew PlantWebinar, 06.06.2019
- Examining the Gender Gap in Litigation and Compliance - A Lawline Webinar Presented by Matthew Plant and Angela TurianoWebinar, 02.28.2019
- Hot Topics and Trends in FINRA Arbitration - A Clear Law Institute Webinar Presented by Matthew Plant and Angela TurianoWebinar, 01.04.2019
- Jeff Friedman, Angela Turiano and Matt Plant to Speak at New York State Bar Association Securities Arbitration and Mediation 2018: EvolutionSpeaking Engagement, New York, NY, 11.29.2018
- Hot Topics and Trends in FINRA Arbitration - A Lawline Webinar Presented by Matthew Plant and Angela TurianoWebinar, 10.15.2018
- Webinar, 04.19.2018
- Event, 04.06.2017
- Event, 11.05.2014
- Event, 03.11.2014
- Podcast, American Bar Association, 06.12.2020
- SEC Approves Reg Best Interest As Part Of A "Generational" Overhaul Enhancing And Clarifying Standards Of Care And Disclosure Requirements For All Broker-Dealers And Registered Investment AdvisersAlert, 06.05.2019
- Alert, 10.31.2018
- FINRA Continues to Crackdown on the Supervision of High-Risk Brokers: FINRA's Latest Regulatory Notices Provide Guidance and Propose Rule AmendmentsAlert, 05.02.2018
- FINRA Proposes Amending its Suitability Rule: Will broker control in excessive trading claims no longer matter?Alert, 04.24.2018
- Publication, Corporate Compliance Insights, 04.23.2018
- Alert, 03.12.2018
- Alert, 03.05.2018
Associations & Organizations
- New York State Bar Association, Securities Litigation and Arbitration Committee
- Co-Chair, New Jersey State Bar Association, Securities Litigation & Regulatory Enforcement Committee
- Securities Industry and Financial Markets Association
- New York City Bar Association, eDiscovery Working Group
Get to Know Matt
Get to Know Matt
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.
Areas of Practice
- Brooklyn Law School, J.D., 1998
- State University of New York, College at Buffalo, B.S., 1993
- New York
- New Jersey
- U.S. District Court, District of New Jersey
- U.S. District Court, Southern District of New York