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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, securities professionals, institutional investors, public companies, and corporate officers and directors in regulatory investigations nationwide. 

He also represents clients in parallel criminal proceedings, internal corporate investigations, and complex civil litigation and arbitration, and provides compliance counseling to broker-dealers and investment advisers.

Jeff is the chair of the firm's Practice Standards Committee. 

Representative Matters
  • Represented a hedge fund adviser in connection with civil litigation arising from a CMO trade dispute.    
  • 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
  • Director, MoCA Westport (formerly Westport Arts Center), 2014 – 2018 (Chair, Governance Committee)


Jeff Plotkin to Speak at Yale on the Critical Importance of Legal Aid

On October 12, 2023, Finn Dixon partner Jeff Plotkin, in his capacity as Chair of Connecticut Legal Services, Inc. (CLS), the State’s largest legal aid agency, and Madeleine Anderson, a CLS staff attorney, will be presenting at Yale University on the topic of “Connecticut Legal... Read more

Finn Dixon & Herling LLP Ranked Band I by Chambers & Partners

The Corporate/M&A practice and Litigation practice at Finn Dixon & Herling (FDH) have once again received the highest possible ranking from Chambers & Partners. The 2023 edition of Chambers USA ranks FDH as Band I Corporate/M&A (for the 20th straight year) and Band I Litigation... Read more

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