Gusrae Kaplan has guided our clients through bull and bear markets for 50 years. We leverage our trial-ready reputation to help our clients achieve their goals, whether they want to close a deal, work well with regulators, win in court, or make a problem quietly disappear.

Always at the vanguard, we have represented broker–dealers, investors, entrepreneurs, issuers, funds, banks, and other financial firms and professionals in hundreds of trials, enforcement hearings, arbitrations, and mediations; established law in landmark federal cases; prevailed in regulatory enforcement hearings; structured settlements exceeding $250 million; arranged hundreds of corporate finance transactions; and counseled thousands of people through the business decisions that matter most.

We are particularly passionate guardians against governmental and regulatory overreach, from defending white-collar criminal prosecutions and SEC enforcement jury trials to managing pre-litigation SEC, FINRA, and blue sky investigations. When appropriate, we go on the offensive, suing FINRA and anyone else that tries to abuse its authority and attack an unlucky target.

Our transactional lawyers and regulatory specialists guide clients through the full lifecycle of entrepreneurship and investment, from inception through growth, securitization, and, when desired, dissolution. We also form companies and funds, particularly focusing on broker–dealers and investment advisers.

We are faithful to our clients, who often remain with us for decades. We bring deep expertise and fresh eyes to every problem, ready to deploy our uniformly excellent lawyers in service of sophisticated and commercial solutions. We leverage efficient systems and technology so we can run lean and deliver real value.

We are the smallest firm ever named to BTI Consulting Group’s list of “Most Feared” American law firms and are one of just two New York City Chambers and Partners “Spotlight” firms ranked for both Securities and Securities Litigation. Our peers recommend us as battle-tested, thoughtful advisors willing to take on even the most powerful adversaries.