About Patrick M. Smith
Patrick Smith helps financial services firms keep their business on track in the face of regulatory investigations and complex commercial disputes. Clients call Patrick for his comprehensive knowledge of the complex regulatory environment and seek his guidance to help them through each stage of an investigation or commercial dispute. Whether facing the SEC, the CFTC or a class-action lawsuit, Patrick offers insight and advice built on years of experience.
A steady hand in complex investigations and litigation
Patrick represents broker-dealers, futures commission merchants, investment banks, trading firms and individuals throughout the financial services industry in a variety of regulatory investigations and complex commercial disputes. Patrick brings to bear a deep understanding of the industry, the financial products and trading strategies frequently at issue, and the evolving regulatory environment so his clients can resolve regulatory investigations and litigation in a way that minimizes business disruption and loss.
Patrick has handled arbitrations between broker-dealers and customers, class-action and derivative suits alleging violations of federal securities laws, internal investigations as well as regulatory investigations and enforcement proceedings by the SEC, CFTC, FINRA, NYSE Regulation and other self-regulatory bodies and at stock, options and futures exchanges.
- Financial services regulatory investigations, arbitrations and litigation
- Securities litigation and class actions
- Complex commercial disputes
- Internal investigations
- Represented multiple options market makers in a putative class action alleging violations of Section 10(b) and Rule 10b-5 in a dividend capture strategy executed at PHLX options exchange. The US District Court for the Eastern District of Pennsylvania dismissed the case, finding there was no proof of unlawful conduct.
January 24, 2019
January 25, 2018
January 13, 2017
April 21, 2016
January 8, 2016
July 1, 2015
January 12, 2015
January 13, 2014
July 25, 2013
Presentations and Events
Panelist | Exchange EnforcementFebruary 28, 2018