Alex J. Kaplan

ALEX KAPLAN represents corporations, individuals and professional services firms in a variety of complex commercial litigation matters, as well as in regulatory and internal investigations. Such litigation commonly has involved allegations of violations of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940; litigation relating to mergers and acquisitions and corporate governance; and litigation concerning real estate related instruments or insurance. He has handled cases in federal and state courts, and in sponsored and private arbitration, throughout the United States.

Recent representative engagements include:

Representation of retail broker in consolidated putative class actions alleging securities fraud in connection with high frequency trading.
Representation of JPMorgan Chase & Co. and affiliated entities in actions brought by the Federal Deposit Insurance Corp. (FDIC) in connection with offerings of mortgage-backed securities.
Representation of Principal Management Corp. and certain affiliates in actions asserting violations of Section 36(b) of the Investment Company Act of 1940 based on allegations that the defendants received excessive compensation from certain “funds of funds.”
Representation of insurance company in numerous court cases and arbitration proceedings arising from disputes concerning insurance contracts.
Representation of a financial institution in an adversary proceeding brought by the Trustee of a real estate investment trust (or REIT) concerning a master repurchase agreement.
Representation of investment funds in adversary proceedings in the Lehman Brothers bankruptcy concerning credit default swaps / priority of payments.

Alex’s securities litigation experience includes representation of issuers, investment banks, investment advisers, and individuals in class actions, derivative actions, and other litigation matters involving equity securities, mutual funds, mortgage and other debt securities, and complex derivative securities. In addition, he has represented broker-dealers and investment banks and their employees in disputes with customers and transaction counterparties. Alex also represents companies and directors involved in M&A transactions in litigation arising from the transactions, and has conducted internal and independent investigations on behalf of companies and independent directors.

Alex has experience in a variety of other complex commercial litigation areas, including disputes relating to insurance matters, distressed assets and putative collective actions under the Fair Labor Standards Act.

Good to know

Areas of Practice 1) Complex Commercial Litigation, 2) Securities and Shareholder Litigation, 3) Alternative Dispute Resolution, 4) Broker-Dealer, 5) Business Torts, 6) CDOs, 7) Contract Litigation, 8) D&O Liability/Shareholder Derivative Litigation, 9) Derivatives and 10) FCPA/Anti-Corruption
Law School American University, Washington College of Law ,J.D., 2002
Education University of Pennsylvania,B.A., 1999
Bar Member / Association New York State Bar Association
Most recent firm Sidley Austin LLP
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