Sarah E. Aberg is an associate in the Government Contracts, Investigations & International Trade Practice Group in the firm’s New York office. Ms. Aberg’s practice encompasses securities regulation, compliance, and litigation as well as internal investigations and white collar defense.
She frequently represents broker-dealers and associated individuals who are the focus of SEC, FINRA and other regulatory investigations. She has conducted numerous internal investigations into a wide variety of allegations, including insider trading, unauthorized trading, and other retail brokerage sales practice violations.
Ms. Aberg has also represented banks, broker-dealers, securities professionals and individuals in connection with investigations and inquiries by the Department of Justice, FINRA, and the New York Attorney General’s and District Attorney’s Offices.
- J.D., Benjamin N. Cardozo School of Law, 2009, Cardozo Journal of International and Comparative Law
- B.A., University of Chicago, 2003
- New York
- U.S. Court of Appeals for the Second Circuit
- U.S. District Court for the Southern and Eastern Districts of New York
- The Private Bank division of a global investment bank in connection with ongoing FINRA, SEC and state securities regulatory inquiries and investigations.
- Financial advisors in connection with SEC investigation into Forex trading platform.
- A federal savings bank charged with mortgage and securities fraud by the Manhattan District Attorney.
- An international retailer in a federal civil asset forfeiture action concerning structuring allegations.
- Skaarup Shipping International in successfully defeating a $50 million prejudgment attachment in the District of Connecticut.
- General Dynamics Corp. in filings with the US. Maritime Administration.
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