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Matthew C. Plant

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Phone: 212-696-1999
Fax: 212-566-4531

350 Fifth Avenue Suite 4640
New York, New York 10118

Matt has spent his career representing clients nationwide in securities-related litigation, arbitrations and regulatory matters. Matt first began working in the securities industry in 1995 as a paralegal at Merrill Lynch while he attended Brooklyn Law School at night. Following graduation and earning admission to the New York and New Jersey bars, Matt began work as an associate and later a partner at a preeminent, national law firm known for its representation of clients in securities and broker-dealer sales practice matters. For more than two decades, Matt has litigated hundreds of claims in arbitration forums, including the Financial Industry Regulatory Authority, Inc. (FINRA) the former NASD and NYSE arbitration forums, and the American Arbitration Association (AAA), as well as in state and federal courts. These cases involved a wide range of allegations relating to suitability, misrepresentation, concentration, use of margin or other credit facilities, excessive trading, unauthorized trading, theft of funds and failure to supervise, in which multimillion-dollar damage claims against large, national and international brokerage firms were sought. Matt has also dealt with a wide array of investment products in his career, including, common and preferred stocks, limited partnerships, REITs, hedge funds, closed/open-end mutual funds, municipal bonds, structured products, options and annuities.

Matt’s extensive defense experience has provided him with a deep understanding of the securities industry as well as given him a unique perspective that serves as an asset to not only the retail brokers who he continues to represent in customer arbitrations, regulatory proceedings, employment matters and expungement petitions, but also to retail customers he represents in actions against their brokerage firms. In addition to knowing the arguments and tactics that brokerage firms use to defend cases brought by their customers, Matt also knows how brokerage firms evaluate the merits of these cases.

Matt’s experience, depth of knowledge and work ethic make him an excellent choice to service his clients’ needs.


J.D., Brooklyn Law School, New York, New York, 1998

B.S., The State University of New York, College at Buffalo, Buffalo, New York, 1993
Major: Business Studies
Minor: Political Science

Jurisdictions Admitted to Practice New York
New Jersey
U.S. District Court of New Jersey
U.S. District Court Southern District of New York
U.S. District Court Eastern District of New York
Professional & Bar Association Memberships

The New York City Bar Association

Past Employment Positions
  • Bressler, Amery & Ross, P.C, Associate 1998 – 2008, Partner 2009 – 2021
  • Merrill Lynch, Pearce, Fenner & Smith Inc., Paralegal 1995 – 1998
Speaking Engagements
  • October 6, 2020 – Best Practices in Defending Margin Related Cases, LawLine Webinar
  • June 12, 2020 – COVID-19 and Senior Investors, American Bar Association Sound Advice podcast
  • October 4, 2019 – FINRA Arbitration 101: What You Need to Know to Succeed in the FINRA Forum, Lawline Webinar
  • June 6, 2019 – eDiscovery 101 - What You Need to Know and Tips to Protect Yourself and Your Clients, Lawline Webinar
  • February 28, 2019 – Examining the Gender Gap in Litigation and Compliance - Lawline Webinar
  • January 4, 2019 – Hot Topics and Trends in FINRA Arbitration - Clear Law Institute Webinar
  • November 29, 2018 – Ethics in an Evolving Process, New York State Bar Association Securities Arbitration and Mediation CLE 2018
  • October 15, 2018 – Hot Topics and Trends in FINRA Arbitration - Lawline Webinar
  • April 19, 2018 – Safeguarding Against Financial Exploitation of Senior Investors: What Attorneys Need to Know, Lawline Webinar
  • April 6, 2017 – Proving and Defending Bond Cases, New York State Bar Association Securities Arbitration and Mediation CLE 2017
  • November 5, 2014 – Hear from the Regulators, 2014 Securities Litigation and Regulatory Update, Pennsylvania Bar Institute
  • March 11, 2014 – Mediation: Whether and When to Settle, New York State Bar Association Securities Arbitration and Mediation CLE 2014
  • November 21, 2013 – General Counsels Litigation & Arbitration Hot Topics, 2013 Securities Litigation and Regulatory Conference: Insights and Challenges for Financial Services Attorneys, New York County Lawyers’ Association
Client Reviews
The Lax & Neville team were total professionals in handling our case. They've clearly had quite a bit of experience handling complex legal matters in many jurisdictions and courts. I was impressed with their professionalism coupled with persistence in arguing a very complete and well-structured case. I highly recommend their services. Anonymous
I am very, very happy with the outcome of my case and my experience with Lax Neville could not have been better. The entire team of attorneys and staff are real professionals, they always had time to answer my many questions about my case. I was treated with compassion and respect. I am so grateful I chose to work with Lax Neville. Anonymous
This is an official " thank you" for all your hard work. It really was a pleasure to have you represent me, and I enjoyed seeing you, Rush and Sandra in action. I think Lax and Neville epitomizes the phrase "quality vs quantity". I think I told you before that I spent a lot of time researching firms; in this case things worked out, I picked the best firm. I hope I never need your services in the future, but if I do I know I found the best attorneys for these types of legal issues. Anonymous
What transpired at the [redacted] was nothing less than a truly masterful and exceptional experience regarding your intelligence, professionalism, preparedness for my case, teamwork and erudite knowledge pertaining to Securities Law, FINRA and the SEC. The facility and ease of how the case was handled, the systematic questioning of all the witnesses to obtain the facts necessary to prove our case, the preparation of the critically conclusive information and documents, the commanding coup de gras closing argument and your tireless consideration and respect for the Panel and [redacted] was, is and will continue to epitomize my feelings and conclusion that what transpired over those long three days was nothing less than raw and unabashed brilliance. Anonymous
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