Jeffrey Plotkin CLE Attorney

Jeffrey Plotkin


Finn Dixon & Herling LLP

Jeffrey Plotkin concentrates his practice on securities enforcement defense, complex private securities litigation and arbitration, and internal corporate investigations.  Mr. Plotkin started his career in the SEC's Division of Enforcement, New York Regional Office, where he served as Staff Attorney; Chief of the Branch of Broker-Dealer Enforcement and Interpretations; and Assistant Regional Administrator. 

Mr. Plotkin has represented clients in industry and customer disputes before FINRA Dispute Resolution (and its predecessors, NASD, NYSE, and AMEX) for over 25 years.  Most recently, in Odeon Capital Group LLC v. Auriga USA, LLC, Case No. 16-00033 (Jan. 12, 2018), a FINRA arbitration panel, upon Mr. Plotkin’s motion, dismissed all claims against Mr. Plotkin’s client after eleven days of hearings on claimant’s direct case, and awarded Mr. Plotkin’s client a total of $400,000 in attorneys’ fees and expenses.  The award was confirmed in a contested proceeding before the New York Supreme Court.