FacultyFaculty/Author Profile

Harry S Davis

Schulte Roth & Zabel LLP

New York, NY, USA

Harry S. Davis is a partner at Schulte Roth & Zabel, where his practice focuses on regulatory investigations, enforcement actions and complex commercial litigation for financial services industry clients, including hedge funds, funds of funds, private equity funds, prime and clearing brokers, auditors and administrators. Harry has substantial experience in both securities regulatory matters and private litigation, including investigations by the SEC, U.S. attorneys' offices, the Department of Justice, the CFTC, the FTC, state attorneys general, state securities regulators and self-regulatory organizations.

Harry has litigated numerous cases in federal and state courts throughout the U.S., including the successful representation of a prime broker in a hotly contested and high-profile fraudulent transfer trial brought by the bankruptcy trustee of a failed hedge fund. Over the course of his career, Harry has represented clients in investigations and litigations involving allegations of insider trading, market manipulation, market timing and late trading, alleged securities law violations concerning PIPEs, short-swing profits, securities and common law fraud, advertising, breach of fiduciary duty and breach of contract, among other claims. To prevent minor issues from growing into bigger problems, he provides litigation and compliance counseling to many of the firm's clients, and conducts internal investigations.

A prolific author and highly sought speaker, Harry recently served as the editor of the Insider Trading Law and Compliance Answer Book, published by Practising Law Institute, and authored two chapters: "Introduction to the Law of Insider Trading" and "Materiality." He also recently spoke on "Current Issues in Trading Fixed Income Securities" at SRZ's Investment Management Hot Topics and participated in the "Regulatory Panel: Hot Button Regulatory Enforcement and Compliance Issues for the Hedge Fund Industry" at IIR's GAIM Ops Cayman Conference.

Harry graduated with a J.D., magna cum laude, from Cornell Law School, where he was associate editor of the Cornell Law Review, a member of the Moot Court Board and Order of the Coif. Following law school, Harry clerked for Hon. Joseph L. Tauro (U.S.D.C. D. Mass.). Harry was awarded his B.A., with departmental honors, from Johns Hopkins University.

Harry S Davis is associated with the following items:
Treatise Chapters  Treatise Chapters Clearing Broker Liability and Responsibilities - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018

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