Noreen Kelly is the Managing Partner of the New York office and a part of the Firm’s Diversity & Inclusion Committee. As a member Financial Services Litigation Department, Noreen focuses her practice on commercial litigation and regulatory enforcement matters in the securities and financial services space.
Noreen has represented a variety of clients – financial institutions, broker dealers, investment advisors, and other businesses – facing regulatory and criminal investigations by the Department of Justice, the Securities and Exchange Commission, the Financial Industry Regulatory Authority, as well as state attorneys general.
She has conducted internal investigations on behalf of major investment banks, audit committees and other entities involving allegations of securities fraud or other violations of securities rules and regulations, accounting fraud, violations of the Foreign Corrupt Practices Act and embezzlement.
She also regularly represents individuals facing regulatory scrutiny or who are required to provide testimony. She also represents clients in complex litigation, typically in parallel with related investigations, in state and federal courts, including in bankruptcy courts.
- Represented financial services firm with respect to internal and external investigations, as well as resultant civil litigation in California state court, involving senior financial advisors accused of forgery, unauthorized trading, and bank fraud.
- Represented broker dealer with respect to wide-ranging internal investigations and regulatory disclosure of errors in the firm’s securities trading reports, including with respect to blue sheets and FINRA’s Order Audit Trail System (OATS).
- Represented financial advisor in federal court with respect to claims of breach of fiduciary duty and breach of contract made by the Government of the US Virgin Islands in connection with a municipal securities issuance.
- Represented issuer and underwriter in New York state court with respect to multiple claims by monoline insurers for breach of contract, indemnity and reimbursement related to residential mortgage-backed securities offerings.
- Represented a major financial institution in connection with multiple investigations of potential bribery associated with bond offerings in Latin America. Matter resulted in declination by the DOJ and the SEC with respect to the institution.
- Represented private equity funds in connection with investigations by the SEC, the New Mexico attorney general, and the North Carolina attorney general into the use of placement agents to solicit investments from public retirement funds.
- New York University School of Law, JD, 1998
- The University of Texas at Austin, BA, Philosophy, cum laude, 1995
- New York
- U.S. District Court for the Eastern District of New York
- U.S. District Court for the Southern District of New York
Affiliations : Board Member, The Board For Modern Courts, 2018-present
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