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Jeffrey Plotkin

Jeffrey Plotkin

o: 203.325.5018

Jeff, a former assistant regional administrator of the SEC’s New York Regional Office, represents broker-dealers, investment advisers, public and private companies, corporate officers and directors, securities professionals, and institutional investors in regulatory investigations nationwide. 

He also represents clients in connection with parallel criminal proceedings, conducts internal corporate investigations, represents clients in FINRA arbitration matters, and provides compliance counseling to broker-dealers and investment advisers. Jeff has handled a number of independent regulatory projects, including serving as the:

  • Court-appointed Distribution Agent for the $65 million Fair Fund established in SEC v. McAfee, Inc. (f/k/a Network Associates, Inc.), C-06-0009 (PJH) (N.D. Cal.);
  • SEC-appointed Plan Administrator for the $50 million Fair Fund established in In the Matter of Morgan Stanley, DW, Inc., Exchange Act Release No. 52482 (September 21, 2005);
  • Designated Independent Consultant for a NYSE specialist firm pursuant to settlements with the SEC and NYSE in the so-called "Specialist Case,” In the Matter of LaBranche & Co. LLC, Exchange Act Release No. 49500 (March 30, 2004); and
  • Independent Third Party Auditor of specialist algorithms for a NYSE specialist firm pursuant to former NYSE Rule 104(h). 

Before joining the firm, Jeff was the chair of the Government Enforcement and White Collar Defense practice group at Day Pitney, LLP in Stamford, Connecticut.  Jeff is the chair of Finn Dixon & Herling's Practice Standards Committee and a member of the firm’s Diversity, Equity, and Inclusion Committee.  

Representative Matters
  • Represented a securities analyst and a hedge fund adviser in separate SEC GameStop investigations.
  • Represented a broker-dealer in a Connecticut Department of Banking investigation concerning the sale of Fyre Festival securities to investors.  
  • Represented an investment banker in an internal investigation and related FINRA examination concerning the unapproved use of text messages for business-related communications.  
  • Conducted an internal investigation for an international bond dealer into potential misuse of material nonpublic information obtained from a prospective investment banking client.
  • Represented a broker-dealer in a FINRA investigation concerning a bond trader’s mismarking of inventory positions.
  • Represented a Canadian hedge fund adviser in an SEC investigation concerning potential insider trading in a NASDAQ pharmaceutical stock.
  • Represented a corporate partner of a large New York City law firm in an SEC investigation concerning Form 10-K disclosures by a NASDAQ company client.
  • Conducted an internal investigation for an alternative asset management firm concerning criminal charges filed against its former Chief Compliance Officer.
  • Represented a commodity futures trader in a CME spoofing investigation and disciplinary action.    
  • Served as an expert witness for a sub-adviser to a mutual fund complex before the NYC Tax Appeals Tribunal concerning the broker-dealer sourcing rules.  
  • Chairman, Connecticut Legal Services, Inc.
  • New York State Bar Association, White Collar Criminal Litigation Committee, Commercial and Federal Litigation Section (Former Co-Chair, Securities Subcommittee)
  • Connecticut Bar Association, Federal Practice Section
  • American Bar Association, Business Law Section
  • Securities Industry and Financial Markets Association (SIFMA), Compliance & Legal Society
  • Director, MoCA Westport (formerly Westport Arts Center), 2014 – 2018 (Chair, Governance Committee)


Finn Dixon & Herling Partner Jeff Plotkin Elected Chairman of the Board of Connecticut Legal Services

Jeff Plotkin, a partner of Finn Dixon & Herling LLP, has been elected Chairman of the Board of Connecticut Legal Services, Inc., the largest legal aid agency in Connecticut. Read more

Jeffrey Plotkin to be a Panelist on an August 6, 2020 Webcast Concerning FINRA Arbitration Practice

On August 6, 2020, Jeffrey Plotkin will be a panelist on a webcast sponsored by The Knowledge Group on the subject of “FINRA Arbitrations: A Comprehensive Guide for 2020 and Beyond.”   Read more