Titolo, Theresa

Theresa Titolo

Theresa Titolo concentrates her practice on securities litigation and enforcement matters, with extensive experience representing investment banks, financial institutions, accounting firms, corporations, and individual clients in both internal and external investigations and enforcement proceedings. She represents institutions and individuals before the Securities and Exchange Commission, the US Department of Justice, the Financial Industry Regulatory Authority, and numerous state attorneys general and state securities enforcement regulators. A special focus of her practice is defending multi-jurisdictional investigations involving both federal and state regulators with overlapping interests.

Ms. Titolo also has substantial litigation experience, defending clients in securities class actions, derivative suits, RICO actions, bankruptcy adversary proceedings and FINRA arbitrations.

Ms. Titolo is a member of the firm's State Attorney General Practice and is active in the firm's Women's Leadership Initiative.

Experience

    • Defended a major investment bank in RMBS-related investigations by the SEC, the Department of Justice and multiple state attorneys general
    • Successfully defended a broker-dealer in a FINRA arbitration brought by a former employee, obtaining a dismissal of all claims and an award of attorneys' fees
    • Defended a financial institution in a state attorney general investigation under the state's deceptive trade practices statute
    • Defended broker-dealers in multiple FINRA investigations involving various SEC and SRO rules and the adequacy of supervision
    • Represented multiple investment banks in multi-district and various individual securities litigations related to the collapse of Adelphia Communications Corporation
    • Represented multiple investment and lending banks in a bankruptcy adversary proceeding brought on behalf of creditors of Adelphia Communications Corporation involving more than 70 bankruptcy, tort and federal statutory claims
    • Represented a broker-dealer in pursuing FINRA arbitration claims against a hedge fund related to the fund's options trading practices
    • Represented a former chairman and CEO in simultaneous regulatory and special litigation committee investigations, shareholder litigation and derivative suits
    • Represented financial institutions in Second Circuit appeal reversing a trend of district court decisions allowing investment advisers to pursue federal securities claims on behalf of their clients
    • Represented financial institutions in Second Circuit appeal upholding class action settlement over objection by third parties
    • Represented investment adviser in Second Circuit appeal involving alleged misstatements regarding fees
    • Represented accounting firms and audit partners in SEC investigations and the Wells process 

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