Jeff plotkin biography

Home / Celebrity Biographies / Jeff plotkin biography

Court of Appeals, Second Circuit.

Staff Attorney, 1986-1988, Chief, Branch of Broker-Dealer Enforcement, 1988-1990 and Assistant Regional Administrator, 1990-1991, United States Securities and Exchange Commission, New York Regional Office. “These acquisitions bring additional depth and talent, enabling us to provide even more customized and effective solutions for our clients.”

Risk International is renowned for its objective, data-driven approach to risk management and employee benefits advisory services.

1987, New York and United States.

District Court, Southern District of New New York

1988, United States. He was the lead SEC trial attorney in the successful federal court action to enjoin the fraudulent sales practices of ten penny stock brokers at J.T. Moran & Co., Inc. (a basis for the fictional J.T. Marlin brokerage firm in the movie “Boiler Room”), and one of the SEC trial attorneys in the successful federal court action to enjoin the largest “free riding” margin scheme in history.

After the SEC, Jeff was an associate of the Morvillo Abramowitz law firm, a white collar criminal defense boutique in New York City, where he represented entities and individuals in criminal and regulatory investigations and conducted internal corporate investigations.

The company’s primary focus is on optimizing insurance and risk management programs to reduce costs and enhance business outcomes.

Jeffrey Plotkin

Edit Profile

lawyer

Jeffrey Plotkin, American lawyer, specializing in the field of Securities Enforcement, New York Stock Exchange Law, National Association of Securities Dealers Law, Broker-Dealer Counselling Law, Private Securities Litigation, White Collar Criminal Law, Civil Defense Law, Complex Trial Law, Appellate Litigation.

At the SEC, Jeff handled investigations and enforcement actions involving investment fund fraud, underwriting fraud, unregistered securities distributions, market manipulation, and violations of the broker-dealer net capital and customer reserve rules. With over 40 years of market leadership, Risk International uniquely positions itself to deliver unbiased, customized solutions that align with client’s specific needs and objectives.

jeff plotkin biography

In that role, he prepared and implemented a plan of distribution of Fair Fund assets to investors harmed by a public company's multi-year scheme to overstate its revenues and earnings;

  • SEC-appointed Plan Administrator for a $50 million SEC Fair Fund. Admitted to the bar, 1986, Connecticut. They specialize in evaluating and optimizing insurance programs to provide comprehensive, cost-effective coverage.

    Education

    University of Arizona (Bachelor of Arts, 1981).

    Risk International Expands Capabilities with the Strategic Acquisitions of Licata Risk Advisors and Risk Solutions, Inc.

    Fairlawn, Ohio, June 19, 2024 – Risk International, a leading provider of risk management consulting and employee benefits advisory services, today announced the acquisition of Boston, Massachusetts-based Licata Risk Advisors and Franklin, Massachusetts-based Risk Solutions, Inc.

    These strategic acquisitions bolster Risk International’s expertise and enhance its ability to offer clients tailored comprehensive risk management solutions.

    Licata Risk Advisors and Risk Solutions, Inc. are independent risk management and insurance consulting firms. New York Law School (Juris Doctor, cum laude, 1986).

    Career

    Worked at Plotkin & Manak, Limited liability partnership (New York, New York) specializing in Securities Enforcement, New York Stock Exchange Law, National Association of Securities Dealers Law, Broker-Dealer Counselling Law, Private Securities Litigation, White Collar Criminal Law, Civil Defense Law, Complex Trial Law, Appellate Litigation.

    Bank of America: Back to the Drawing Board," ABA Criminal LitigationNewsletter, Winter 2010 (co-author) 

  • "The Designated Third Party Requirement: The Final Frontier of SEC Rule 17a-4(f)," November 2009 (White Paper commissioned by Iron Mountain) (republished February 2012)
  • "Responding To SRO Market Surveillance Inquiries Into Potential Insider Trading," The Metropolitan Corporate Counsel, October 2007 (co-author)
  • "Securities Class Action Settlements - How Corporate Governance Reform Has Played a Role in the Process," New York Law Journal, September 20, 2007 (co-author)
  • "Reaping the Benefits of Electronic Message Surveillance," 2006 (report of broker-dealer survey conducted with Fortiva, Inc.) (co-author)
  • "The Act-Of-Production Privilege in SEC Proceedings," The Review of Securities & Commodities Regulation, Vol.

    39, No. 1, January 4, 2006 (co-author)

  • "SEC Enforcement Actions: Show Me the Money," New York Law Journal, December 19, 2005
  • "The Tipper Benefit Test Under the Misappropriation Theory," New York Law Journal, August 15, 2003
  • "Broker-Dealer Regulations Concerning E-Mail," New York Law Journal, December 4, 2002

    • .

    In that role, he monitored and audited the distribution of Fair Fund assets to investors harmed by a broker-dealer's failure to disclose facts in the offer and sale of the mutual funds;
  • Designated Independent Consultant for a NYSE specialist firm pursuant to settlements with the SEC and NYSE in the so-called "Specialist Case" (which involved allegations that NYSE specialists inter-positioned and traded ahead of customer orders on the NYSE).  In that role, he conducted a review of all the specialist's policies, procedures and systems for handling customer order flow on the NYSE, and recommended amendments and revisions to the specialist's policies, procedures and systems to ensure compliance with SEC and NYSE rules; and
  • Independent Third Party Auditor for a NYSE specialist firm pursuant to former NYSE Rule 104(h).  In that role, he conducted reviews of all specialist algorithms and systems to ensure they operated in accordance with SEC and NYSE rules.

    • Jeff has been an adjunct professor for New York Law School’s LLM program for Financial Services Law, was a guest lecturer at the Columbia Business School for over ten years on insider trading law for securities analysts, and has served as a panelist at numerous seminars, conferences, and webinars concerning securities regulation and arbitration.

    Jeff represents broker-dealers, investment advisers, private funds, family offices, financial services professionals, public companies and their officers and directors, auditors, and attorneys in a wide variety of regulatory, criminal, and civil litigation and arbitration matters nationwide.  He also conducts internal corporate investigations and provides compliance advice and services to broker-dealers and investment advisers.

     

    Jeff started his career in the SEC's Division of Enforcement, New York Regional Office, where he served as Staff Attorney; Chief of the Branch of Broker-Dealer Enforcement and Interpretations; and Assistant Regional Administrator.

    Associate, Morvillo, Abramowitz, Grand, Iason & Silberberg, Professional Corporation, 1991-1995.

    Member: Association of the Bar of the City of New New York

    American Bar Association (Member, Business Law Section).

    Achievements

    • Jeffrey Plotkin has been listed as a reputable lawyer by Martindale-Hubbell.

    Membership

    Member: Association of the Bar of the City of New New York American Bar Association (Member, Business Law Section).

    These firms dedicate themselves to helping organizations reduce insurance costs while maximizing protection for their assets, revenue, and reputation.

    “By bringing Licata Risk Advisors and Risk Solutions, Inc. onto the Risk International team, we are enhancing our capabilities and expertise in risk management and insurance consulting while furthering our ability to provide quality services to clients across a broad spectrum of industries,” said Michael Winschel, General Counsel, Executive Vice President – Risk and Analytics of Risk International.

    Immediately prior to joining Finn Dixon in 2012, Jeff was a partner of Day Pitney LLP in its New York City and Stamford, CT offices, and was Chair of that firm’s Government Investigations practice group and Broker-Dealer and Investment Advisers practice group.

    Jeff has enjoyed considerable success during the “Wells Notice” process in persuading the Staffs of the SEC, FINRA and the securities exchanges to reverse their preliminary determinations to recommend enforcement actions against his clients.

    Member of Plotkin & Manak, Limited liability partnership

    Background

    Plotkin, Jeffrey was born on November 2, 1959 in Miami, Florida, United States.