Michael R. Gaico focuses his practice on Financial Institutions litigation, arbitration, and regulatory matters. His experience is concentrated in the representation of broker-dealers, their principals, and registered representatives in connection with customer complaints, employment disputes, and inquiries by federal and state securities regulators.
Mike also has experience in professional liability litigation, including the defense of accountants, attorneys, and corporate directors and officers from claims of negligence, breach of fiduciary duty, and securities law violations.
After college, Mike began his career in the financial services industry at Citigroup Global Markets, Inc./Smith Barney.
News & Insights
- Firm News, 12.15.2014
Speaking Engagements & Events
- Publication, American Bar Association, 04.22.2019
- Alert, 02.08.2018
- Broker’s Lifetime Ban Twice Called Into Question by D.C. Circuit in Saad v. SEC – Leaving the Standard for Review UncertainAlert, 10.26.2017
- Alert, 07.31.2017
- Alert, 08.17.2016
Areas of Practice
- Syracuse University College of Law, J.D., cum laude, 2008
- Washington and Lee University, B.A., magna cum laude, 2004
- New York
- U.S. District Court, Southern District of New York
- U.S. District Court, Eastern District of New York
- U.S. District Court, District of Connecticut
- U.S. Court of Appeals, Second Circuit