Financial Fraud Litigation

Rich, Intelisano & Katz has an internationally recognized financial fraud litigation practice which represents retail and institutional investors in cases against financial firms. Our clients have included ultra high net worth and high net worth individuals, family offices, hedge funds, funds of funds, endowments, non-profits and other institutions in claims against investment and private banks, investment advisors, hedge funds and other financial companies. The Firm has combined experience of almost 100 years in large and complex securities, commodities and derivatives fraud cases on behalf of investors. Our attorneys have litigated financial fraud cases related to securities, commodities, over-the-counter derivatives and swaps, hedge funds, private equity investments, proprietary products, structured products and various other complex investments.

The Firm presently represents a family office in a $383 million FINRA arbitration claim in New York against Citigroup Global Markets Inc. related to Citigroup’s misconduct with respect to the structuring, monitoring and handling of hedge fund and private equity portfolios, and the improper recommendation and implementation of a leveraged option swap transaction and a lender protected unit trust. CGMI has filed a motion in court to attempt to stay the arbitration which is pending in the SDNY.

The Firm handled a $15 million dispute on behalf of a fuel and heating oil company against an international broker dealer related to the purchase of OTC derivatives, including swaps and options, pursuant to an ISDA agreement. The case was litigated in court in New York as well as in two FINRA arbitrations.

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