With the volatility in the market during the recent months and the significant growth of securities-backed lending by brokerage firms, understanding the various types of lending available to securities customers is critical. Taught by Matthew Plant and Angela Turiano, principals of the firm Bressler, Amery & Ross, this course will examine the various types of lending available to securities customers and explore how margin and other lending works. The presentation will also address best practices in investigating and defending margin cases.
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.
Matt is also a member of Bressler's Senior Issues: Counseling and Litigation Defense group. The lawyers in this group have a shared interest in providing counsel to corporate clients who confront issues affecting seniors.
Angela Turiano focuses in the representation of brokerage firms and individual registered representatives in customer and employment arbitrations and litigation. Angela has worked as in-house counsel for two major securities firms, so she understands, from an internal perspective, the highly specific needs of her clients. Known for her composure and her commitment to achieving results, Angela’s clients also value that she serves as a FINRA Arbitrator. On many occasions, her experience in this capacity has benefited them greatly in terms of navigating beyond FINRA related obstacles.
Angela is a practiced trial lawyer who has appeared on behalf of corporate clients in New York federal and state courts and in arbitrations before various self-regulatory organizations. In addition to her extensive work in the securities arena, Angela has also represented individuals in both state and federal criminal prosecutions, from inception through trial. Prior to entering private practice, Angela served as an Assistant District Attorney in the Kings County District Attorney’s Office, where she prosecuted and successfully brought to trial multiple felony cases including Burglary, Narcotics Sale, Robbery and Kidnapping.
Highly respected throughout the financial services industry, Angela is an active speaker in the securities community, including speaking engagements at the renowned NYU Stern School of Business and client firm roundtables and compliance conferences. She also served as a panelist for the American Conference Institute, where she has lectured on the latest trends in securities litigation.
Angela partners with corporate clients to provide free legal advice at the Neighborhood Entrepreneur Law Project (NELP) small business legal clinic, as well as volunteers annually as a mock arbitrator/trial judge in various law school competitions. Angela also speaks annually at the Lincoln High School Career Day in Yonkers, NY.