Month: July 2024

Pastore LLC successfully persuaded the SEC not to bring charges against a former senior executive of a publicly traded national retail chain. Pastore represented the client throughout the SEC’s fact-finding inquiry into possible securities violation by the retail company. Pastore attorneys Paul May and Tyler Rutherford defended the SEC OTR in New York. At the conclusion of the inquiry, the SEC indicated that they would not be recommending an enforcement action against the client.

Pastore has attorneys formerly affiliated with firms such as Kelley Drye & Warren LLP, Paul, Weiss, Rifkind, Wharton & Garrison LLP, Skadden, Arps, Slate, Meagher & Flom LLP, and Mayer Brown, as well as the SEC and NYSE, and has a thriving securities industry practice.

Pastore LLC represented an attorney and hedge fund manager in a disciplinary hearing related an algorithmic securities trading platform and sophisticated investment transactions. The client was accused of fraud and breach of contract, resulting in arbitration before the American Arbitration Association. Following the arbitration, the matter was brought before the State Grievance Committee in Connecticut for potential discipline, including disbarment. After lengthy proceedings, the State Grievance Committee’s reviewing committee declined to impose any discipline against Pastore’s client.

Pastore has attorneys formerly affiliated with firms such as Kelley Drye & Warren LLP, Paul, Weiss, Rifkind, Wharton & Garrison LLP, Skadden, Arps, Slate, Meagher & Flom LLP, and Mayer Brown, as well as the SEC and NYSE, and has a thriving securities industry practice.

Pastore LLC congratulates Tyler W. Rutherford on his recent appointment to the Securities Litigation Committee of the New York City Bar Association, where he will serve a three-year term alongside esteemed members of the Bar. He has been a frequent author on sophisticated securities related issues.