Mark Mandel, Esq.

Professional Experience

Mark, a leading securities litigation and enforcement lawyer is a former chief of the New York office of the U.S. Securities and Exchange Commission’s Division of Broker-Dealer Enforcement. He has over 20 years’ experience as a private practitioner representing investment banks, corporations, investment advisers, hedge funds, and directors and officers in many high-profile matters, from SEC, DOJ, state attorneys general and self regulatory organization investigations to national securities class actions.

Mark has consistently been involved in significant securities industry cases, including, among others, alleged VIX manipulation; high frequency trading; the CDO investigations; off line communications; structured and complex products investigations; the Squawk Box investigations; auction-rate securities; student loan investigations; options back-dating; NYSE and SEC specialist investigations; and the treasury bond investigation.

Notable favorable results include, among others, obtaining dismissal of various class actions and billion dollar claims concerning the alleged manipulation of VIX related products; dismissal of insider trading case against a Board member of a Bank takeover target; a no enforcement action result on behalf of a major financial institution in the Squawk Box investigations; the dismissal with prejudice of a major international investment bank from a $140 million securities fraud suit arising from the aborted sale of a Polish telecommunications company; obtaining, on behalf of a large NYSE-listed REIT, a no-enforcement action letter from the SEC following an investigation of a restatement stemming from allegations by a former chief financial officer claiming whistleblower status; and obtaining the dismissal with prejudice of an NYSE-listed international telecom company in a securities fraud suit seeking $100 million in damages arising out of the sale of a Greek cellular phone company.

Mark has been recognized by the Legal 500 for securities litigation and has been named a BTI Client All Star.