Matthew C. Plant

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.