Dorothy J. Spenner

DOROTHY SPENNER joined the firm in 2005 and is a partner in the Securities Litigation, Securities & Derivatives Enforcement and Regulatory and Securities and Shareholder Litigation groups. Her practice includes representing financial institutions and related individuals in securities litigations and regulatory enforcement proceedings, as well as representing companies from a variety of industries and sectors in all aspects of complex commercial litigation. She has represented clients in federal and state courts and arbitral forums, as well as in investigations by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the New York Stock Exchange (NYSE).

This experience includes:

Representation of retail broker in consolidated class actions alleging securities fraud in connection with high frequency trading.
Representation of JPMorgan Chase & Co. and affiliated entities and individuals in individual and putative class actions alleging misrepresentations and omissions in connection with offerings of mortgage-backed and asset-backed pass-through certificates.
Representation of CNO Financial Group, Inc. and its officers and directors in putative class action alleging violations of the Securities Exchange Act of 1934. Motion to dismiss granted.
Representation of Eli Lilly, Novo Nordisk, and Ingersoll-Rand affiliates in federal action brought by the Republic of Iraq alleging RICO and other claims in connection with the United Nations Oil-for-Food Programme. Motion to dismiss granted.
Representation of Bank of America, Citigroup, Deutsche Bank, JPMorgan, UBS, and Wachovia affiliates in putative class action alleging violations of the Securities Act of 1933 in connection with their role as underwriters of a secondary offering of iStar Financial Inc.
Internal investigation of investment activities at major financial institution and related representation in investigation by the FINRA.
Successful defense of investment firm in informal SEC inquiry concerning Rule 105 of Regulation M.

Dorothy’s advocacy on behalf of clients has earned her acknowledgement in industry publications, including recognition in the 2012-2014 editions of Legal 500. In an editorial, Legal 500 says she is “regularly called upon to advise financial institutions on some of their most significant litigation.” Dorothy also was named by New York Super Lawyers magazine to its Rising Stars list from 2011-2014. That list recognizes the top up-and-coming lawyers in the state — those who are 40 years old or younger, or who have been practicing for 10 years or less.

In addition, Dorothy has argued two immigration appeals before the United States Court of Appeals for the Second Circuit.

Good to know

Areas of Practice 1) Securities & Derivatives Enforcement and Regulatory , 2) Securities and Shareholder Litigation, 3) Broker-Dealer, 4) Contract Litigation, 5) D&O Liability/Shareholder Derivative Litigation, 6) Financial Institutions Litigation and 7) Internal Investigations
Law School Tulane University Law School, J.D., 1999
Education The University of Chicago, B.A., 1996
Bar Member / Association New York State Bar Association
Most recent firm Sidley Austin LLP
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