We defend and prosecute high-stakes, sophisticated business disputes involving breach of contract, breach of fiduciary duty, fraud, unjust enrichment, and quantum meruit filed in both federal and state courts.

We have a long track record of successfully resolving cases on behalf of clients in the securities industry including broker dealers, hedge funds, banks, investment advisers and other financial service firms. However, our experience also covers a broad range of other sectors, including private equity, real and personnel estate, construction, insurance, and reinsurance.

Recent Representations

  • Represent high-net-worth family in civil lawsuit against real estate developer alleging breaches of fiduciary duty, breach of contract, and fraud following a lost $8 million investment.
  • Represent multi-billion dollar hedge fund alleging breach of contract over a $24 million bond trade resulted in erroneous over-delivery of bonds.
  • Represent multi-billion dollar REIT in litigation against the New Jersey Department of Environmental Protection following the state’s refusal to compensate residents for the destruction of millions of dollars worth of rental properties during Superstorm Sandy.
  • Represent hedge fund in FINRA member-customer arbitration over millions of dollars in losses to its mortgage-backed securities portfolio.


At Ford O’Brien, we have extensive experience conducting internal investigations and advising corporations and individuals in responding to regulatory enforcement agencies. We have successfully guided numerous clients through regulatory enforcement proceedings initiated by SEC, FINRA, various Attorneys General, and numerous other state and federal regulatory authorities.

We approach each case by strategically analyzing the client’s specific problem, anticipating the likely course that the investigation will take, and mapping out a strategy that delivers the best results possible. While many law firms tout their newsworthy cases, we prefer to stay out of the news.  Indeed, most of our representations never become public because we successfully resolve them without any government or SRO action being taken.

Recent Representations

  • Represent large investment adviser being investigated by a state Attorney General into potential violations of various securities laws resulting from alleged inadequate disclosures.
  • Represent european company responding to SEC investigation into alleged failure -to -supervise allegations involving an employee falsifying portfolio pricing information.
  • Represent off-shore broker dealer in SEC inquiry into allegations of improperly soliciting domestic clients.
  • Represent investment banker in enforcement action by the Federal Reserve Board for improperly accessing and distributing confidential supervisory information.


We have successfully represented corporations and individuals in internal investigations, grand jury investigations, trials and appeals.  Our criminal representations have involved various anti-fraud provisions of the federal securities laws, as well as federal and state laws on conflicts of interest, health care fraud, breaches of data security, and government contract fraud.

Recent Representations

  • Represent owner of an off-shore broker dealer being investigated for participating in a $20 million penny stock securities fraud scheme.
  • Represent investment banker who was the subject of a DOJ investigation regarding potential transfer of confidential supervisory information.
  • Represent CEO prosecuted for honest-services fraud for paying kickbacks to a client in exchange for receiving millions of dollars in staffing contracts.