For decades, our firm has counseled both corporate and individual clients in connection with internal investigations as well as state and federal criminal defense.

In addition to market leaders in the financial services arena, corporate entities in a broad range of industries call upon Gusrae Kaplan to conduct comprehensive internal investigations in response to both suspicions and allegations of misconduct. We regularly lead these examinations on behalf of businesses, their investors and various governance bodies such as boards of directors and audit committees.

We also represent corporate entities and individuals in connection with prosecutorial inquiries as well as comprehensive criminal defense at the state and federal level. By way of example, we counsel clients in connection with investigations by federal and state prosecutors and enforcement actions by the DOJ, SEC and CFTC. Through our advocacy, on numerous occasions, we have successfully persuaded the government to decline prosecution. In the event of prosecution, we are trusted counsel, with a strong track record of successful criminal defense.

• FINRA Fines Merrill Lynch $1,000,000 Based on GKN’s Success in NY Court Regarding Arbitration
• GKN Chosen One of the New York Area’s Top Ranked Law Firms
• GKN Obtains Dismissal of StockCross Financial Services in $2,808,660 Arbitration
• GKN Prevails on Behalf of Raymond James in Arbitration Alleging $2,000,000 in Damages with Panel Assessing Entirety of the $20,850 in Hearing Fees Against Claimant.
• GKN Wins $8.1 Million for Clients from Merrill Lynch after 12 Day Hearing
• GKN Wins Historic Appeal: FINRA Lacks Authority to Enforce Collection of Disciplinary Awards