Mark Mandel

Professional Experience

Mark Mandel is a Partner in FRB’s Litigation & Dispute Resolution Practice Group. Mark is a leading securities litigation and enforcement lawyer and 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. His practice also includes matters involving crypto-related disputes, including crypto recovery and forfeiture.

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.