Kaplan Hecker & Fink LLP > New York, United States > Firm Profile

Kaplan Hecker & Fink LLP
350 FIFTH AVENUE
SUITE 7110
NY 10118
United States

Dispute resolution > Corporate investigations and white-collar criminal defense Tier 3

Under the leadership of Sean Hecker, Kaplan Hecker & Fink LLP continues to act in high-profile white-collar criminal defense cases and bet the-company matters for both corporate and individual clients. The team has extensive trial experience in civil and criminal cases in both federal and state courts, and also handles internal investigations, enforcement actions and regulatory matters. Hecker is a well-regarded litigator with particular experience in FCPA and anti-corruption matters, while Jenna Dabbs, a former prosecutor, is recommended for government investigations. In late 2020, Valerie Hletko joined from Buckley LLP, and in April 2021, Susanne Sachsman Grooms joined in Washington DC from the US house committee on oversight and reform. Mike Ferrara was promoted to partner. All named attorneys are based in New York unless otherwise stated.

Practice head(s):

Sean Hecker

Other key lawyers:

Testimonials

‘Kaplan Hecker is superb — they are one of the premier firms for defense of individuals in white collar matters.’ 

‘The team is incredibly experienced and capable, and they are a pleasure to work with.’

‘Sean Hecker is one of the leaders in the NY white-collar defense bar.’

‘Marshall Miller has excellent prior experience within DOJ; a superb lawyer.’

‘Mike Ferrara is excellent and highly experienced.’

‘Sean Hecker and Marshall Miller are outstanding lawyers.’

‘They are incredibly smart and they have great experience.’

Key clients

Maple Point, Matthew Stein, and Jerome Lhote

Stefan He Qin

John Patrick Gorman III

Gregory Dwyer

Flynn Amicus

Société Générale S.A.

Work highlights

  • Representing Matthew Stein and Jerome Lhote, a corporate entity in which they served as executives, Maple Point LLC, and associated pension plans, in connection with disputes over ‘cum-ex’ dividend arbitrage trading and dividend tax withholding distributions in the kingdoms of Denmark and Belgium.
  • Representing Stefan He Qin, the 24-year-old founder of a pair of cryptocurrency hedge funds managing over $100m, who pled guilty in February 2021 to one count of securities fraud. Kaplan Hecker is also representing Qin a parallel SEC enforcement action.
  • Represents John Patrick Gorman III, who was sued by the Commodity Futures Trading Commission for allegedly manipulating the prices of U.S. dollar interest-rate swap spreads while working as the head of non-yen rate trading for Nomura

Dispute resolution > Securities litigation: defense Tier 4

Kaplan Hecker & Fink LLP in New York is a boutique litigation firm that is highly skilled in SEC enforcement matters and is also involved in prominent securities litigation cases. Sean Hecker leads the practice and is currently representing Stefan He Qin, the founder of cryptocurrency hedge fund manager Virgil Capital, in a securities fraud case and a parallel SEC enforcement action. Key litigators Roberta Kaplan and John Quinn are representing Natixis S.A. in a residential mortgage-backed security repurchase lawsuit brought by a separate securities administrator on behalf of investors in the transaction. Former Principal Deputy Assistant Attorney General & Chief of Staff at the DOJ’s Criminal Division, Marshall Miller, also handles high-stakes securities litigation.

Practice head(s):

Sean Hecker

Key clients

Stefan He Qin

Natixis S.A.

John Patrick Gorman III

Work highlights

  • Representing Stefan He Qin, the 24-year-old founder of a pair of cryptocurrency hedge funds managing over $100 million, who pled guilty in February 2021 to one count of securities fraud.
  • Representing Natixis S.A. in a residential mortgage-backed security (RMBS) “repurchase” lawsuit brought by a separate securities administrator on behalf of investors in the relevant transaction.
  • Representing John Patrick Gorman III, who was sued by the Commodity Futures Trading Commission for allegedly manipulating the prices of U.S. dollar interest-rate swap spreads while working as the head of non-yen rate trading for Nomura.

Dispute resolution > Financial services litigation

Kaplan Hecker & Fink LLP substantially bolstered its contentious financial services practice in December 2020, when it brought on specialist Valerie Hletko from Buckley LLP.

Industry focus > Education

Kaplan Hecker & Fink LLP has strength in high-stakes litigation across Title IX matters and a proven track record securing victories for Ivy League institutions, including Columbia University. Roberta Kaplan leads the group from New York and handles gender-based misconduct issues, whilst in Washington, DC,  Joshua Matz is recommended for sex discrimination matters.

Founded in July 2017 by renowned litigator Roberta Kaplan, Kaplan Hecker & Fink LLP has quickly emerged as one of the most formidable litigation boutiques in the country, fusing high stakes commercial litigation with a groundbreaking public interest practice. Clients trust Kaplan Hecker with some of their most pressing challenges, from white-collar criminal defense, to commercial disputes, to civil rights litigation, to appeals – diversity that is reflected in the range of key matters detailed below. Kaplan Hecker’s team of New York and Washington, D.C.-based litigators share a mission to provide the highest level of client service and advocacy, while at the same time maintaining a deep commitment to principles of integrity, fairness, and public service. Kaplan Hecker has been named by Benchmark Litigation as “Boutique Firm of the Year” in 2022, 2021, and 2020.  Since 2019, Benchmark Litigation has also recognized us as one of the “Top Boutiques” in the country. The publication has also consistently given the firm its highest ranking as a “Highly Recommended Law Firm – New York,” making Kaplan Hecker one of the very few litigation boutiques – and the only firm founded by women – to achieve that top designation.

Our litigators are commercially minded and have top-tier credentials that they deploy on our clients’ behalf to help them successfully navigate the most complex and pressing legal and business challenges, including contract disputes, partnership disputes, bankruptcy litigation, class actions, securities litigation, consumer protection cases, and a wide array of other matters. Our client base spans diverse industries and sectors, and our skills allow us to pivot immediately to litigate for our clients. Our growing base includes the globe’s largest financial institutions and ratings agencies, Fortune 100 & 500 companies, the nation’s most prestigious universities, cutting-edge TMT companies and startups, and nationally prominent individuals. Additionally, one of the firm’s founding principles is a commitment to litigating and trying cases on matters of public policy and social justice for individuals and organizations, and we have continued to do so vigorously. From securing a historic $26 million verdict against the white supremacists who organized the violence in Charlottesville, VA, to taking extraordinary efforts to defend the administration and certification of the 2020 Presidential election, Kaplan Hecker has placed public service at the center of its practice with notable results.

Clients of Kaplan Hecker receive personalized attention from the partners, while benefiting from the efficiencies of a small, uniquely talented team of lawyers with a deep breadth of expertise and a wide range of subject-matter expertise. Our clients and our peers continue to recognize that our firm’s size, experience, subject-matter expertise, commercial mindedness, and nimble management structure allow us to consistently deliver high-quality, effective work product in the most cost-efficient manner. We have also continued to receive recognition from the broader legal industry, and Roberta Kaplan and Sean Hecker are widely recognized as two of the top litigators in the country.

Kaplan Hecker continues to enhance its leading edge by attracting top talent, including recently welcoming Shawn Crowley, Kate Doniger, Tim Martin, and Raymond Tolentino to the partnership – leading national experts in white-collar, internal and government-led investigations, commercial litigation, and appellate and complex civil litigation. We have also built a team of four former federal prosecutors and two former public defenders, as well as numerous trial-tested litigators with accomplished careers in private practice. As a result, Kaplan Hecker is recognized for the extensive trial experience of our lawyers, who have tried dozens of civil and criminal cases to verdict in federal and state courts and arbitrations.

Commitment to diversity, equity, and inclusion is more than a value of our firm, it is who we are. Our firm was founded by women and members of the LGBTQ+ community. Today, over 80% of our attor­neys identify as women, people of color, members of the LGBTQ+ community, or some combination thereof. Across all of our work, we strive to make sure that our policies, the way we practice, and opportunities for advance­ment at our firm all actively reflect our prioritization of building an equitable and inclusive workplace. We are extremely proud that The American Lawyer has recognized this work, naming Kaplan Hecker its 2021 inaugural “Best Diversity Initiative” award recipient.