Appeals

  • Ford O'Brien Landy LLP

    275 Madison Avenue
    Floor 24
    New York, New York 10016

    Phone: (212) 858-0040

  • Ford O'Brien Landy LLP

    3700 Ranch Road 620 South
    Suite B
    Austin, Texas 78738

    Phone: (512) 212-5238

Ford O’Brien Landy LLP’s appellate practice is grounded in principled advocacy.

Principled advocacy requires judgment: the ability to identify the issues that matter, to understand the governing standard of review, and to present arguments with the credibility appellate courts expect. We bring this judgment to high-stakes federal and state appeals involving unresolved legal questions, complex records, and significant financial and reputational consequences.

Appellate litigation shapes the development of the law. Our approach reflects that responsibility while focusing on our clients’ individual objectives in each case — whether preserving a favorable result, overturning an adverse ruling, or narrowing exposure on appeal. We have experience assuming responsibility for matters for the first time on appeal, bringing independent judgment to the record and the issues presented.

Representative Appeals

Our appellate work reflects the firm’s diverse practice areas and includes:

  • In re SBK Art LLC, 2026 WL 478787 (2d Cir. 2026): We secured affirmance of an order granting our application under 28 U.S.C. § 1782 to obtain discovery from a major U.S. law firm. The Second Circuit rejected the argument that discovery must be obtainable abroad to fall within the scope of § 1782.
  • SEC v. Govil, 88 F.4th 89 (2d Cir. 2023): We secured the reversal of a significant disgorgement award before the Second Circuit, which held that disgorgement under the federal securities laws requires proof that investors suffered pecuniary harm. The decision created a circuit split that the Supreme Court resolved in Sripetch v. SEC (2026) — holding that pecuniary harm is not required — a case in which we also submitted an amicus brief addressing the scope of the SEC’s disgorgement authority.
  • SEC v. Gentile, 939 F.3d 549 (3d Cir. 2019): We represented an entrepreneur in an appeal addressing whether SEC injunctions are punitive for purposes of the statute of limitations. On remand, the district court dismissed the action against our client.

Current Appellate Engagements

Our current appellate engagements include representing:

  • Entrepreneurs in appeals from SEC enforcement actions in the Second and Eleventh Circuits;
  • The owner of a megayacht in an appeal arising from a DOJ forfeiture action;
  • A financial institution in a petition for a writ of mandamus before the Second Circuit; and
  • A plaintiff in an appeal in Ohio state court in a defamation action.

Contact us to learn how we can help.

Frequently Asked Questions

  • A trial is where the facts of a case are determined: witnesses testify, evidence is presented, and a judge or jury reaches a verdict. An appeal is not a second trial. Instead, a higher court reviews the record of what happened below to determine whether legal errors were made that affected the outcome, such as mistaken rulings on evidence, incorrect jury instructions, or misapplication of the law. Appellate courts generally do not hear new evidence or witnesses, which makes the written briefs and the existing record central to success. Appellate advocacy is a distinct discipline, and our experience as trial lawyers strengthens our work in that area: we understand how records are made, how trial judges rule, and where errors are most likely to occur. We handle appeals in both civil and criminal matters, whether seeking to overturn an adverse decision or defending a favorable one.

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