FacultyFaculty/Author Profile
Douglas I. Koff

Douglas I. Koff

Bracewell & Giuliani LLP

New York, NY, USA


EXPERIENCE

Doug Koff is a partner in Bracewell’s broker-dealer practice where he represents clients in high profile civil and criminal proceedings, as well as investigative matters. His work generally involves very complex factual and legal issues.

Doug has been actively engaged in cases involving securities, derivative products, and other complex financial instruments. In this regard, he has advised and defended companies and corporate executives in virtually every inquiry by civil and criminal authorities (as well as SRO's) into business practices on Wall Street, including a wide array of matters involving the financial crisis.

Doug has also handled major civil litigations and arbitrations involving a broad spectrum of substantive legal issues, including fraud, breach of contract, antitrust, breach of fiduciary duty, reinsurance, piercing the corporate veil, mergers and acquisitions, money laundering, as well as federal securities law. His experience spans all aspects of civil litigation including substantial trial experience.

Ranked by Chambers and Partners, Chambers USA, since 2008, Doug is lauded in the 2012 guide as “hard working, attentive and client-focused.” The 2010 edition noted that that Doug is “a smart, thorough litigator who is always on top of things.” The guide also said that “He has everything on his radar screen,” and that Doug has a “remarkable ability to get along with anyone, making it his business to develop a rapport with other attorneys involved in his cases.”

REPRESENTATIVE MATTERS

Successfully represented a Bank in an SEC investigation into the Bank's public filings in relation to its accounting of its allowance for loan and lease losses and deferred tax assets

Successfully represented a prominent collateral manager regarding the structuring, sale and marketing of CDOs and CLOs

Represents numerous individuals at a number of different financial institutions regarding ongoing investigations of trading and sales practices into foreign exchange, CDOs, RMBS, securitizations and a host of fixed income instruments as well as equities.

  • None of these individuals have been charged by any law enforcement agency or regulator

Represented a former CEO in connection with civil and criminal matters involving finite transactions in the reinsurance industry

  • Obtained a deferred prosecution in the criminal proceeding
  • Successfully settled the matter with the SEC with no financial liability
  • Successfully obtained dismissal of all civil matters

Represented a founding partner of a hedge fund in a prominent insider trading investigation

Represented a chief compliance officer of a registered broker dealer in connection with an investigation by the Securities and Exchange Commission regarding compliance issues around dark pools

  • SEC was convinced not to file charges through the Wells process

Involved in a series of investigations of a major financial institution into the underwriting, marketing and sale of auction rate securities

Represented numerous corporate executives in an investigation by the Department of Justice and the Securities and Exchange Commission into sales practices, insider trading and underwriting issues

Represented reinsurance companies in connection with investigations involving finite transactions in the reinsurance industry

  • Obtained a zero dollar settlement of 10b-5 charges
  • Other companies were not charged by the regulators

Represented four former outside directors in the Tyco litigation in numerous securities class actions and the related shareholder derivative litigation, some of whom Doug also represented in various regulatory and criminal matters

Represented a major financial institution with respect to allegations concerning stock loan finders

  • No charges were filed against the institution

Represented Canadian Imperial Bank of Commerce in connection with investigations involving mutual fund trading practices

Represented Bear Stearns in connection with regulatory investigations stemming from allegations of improper initial public offering practices

Represented Bear Stearns in connection with regulatory investigations arising out of allegations of alleged conflicts of interest between the investment banking and research departments

Represented Lehman Brothers in multimillion dollar disputes with various Chinese trading counterparties involving foreign exchange and derivatives trading

Represented Bear Stearns in a complex securities arbitration.

  • One of the matters involved international discovery pursuant to the Hague Convention, complex issues of Chinese law and resulted in a 37-day trial in the U.S. District Court for the Southern District of New York.

Represented Timber Hill LLC in In re Stock Exchange Trading Antitrust Litigation in which the U.S. Court of Appeals for the Second Circuit affirmed the trial court's decision dismissing the action pursuant to the implied repeal doctrine, a key case addressing the doctrine

Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.