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Robert J.A. Zito

Robert J.A. Zito



Illustrative Matters

  • Represented a Panamanian broker-dealer in connection with SEC assertions of violations under Section 5 of the Securities Act of 1933.
  • Represented an investment advisor in connection with SEC assertions of Dodd-Frank swap violations.
  • Defended a director of an international broker-dealer in connection with a stockholders’ derivative suit and an investigation by the Manhattan District Attorney’s Office.
  • Represented the CEO, CFO and General Counsel of a registered investment advisor in connection with a multi-district litigation involving breaches of fiduciary duties by mutual fund advisors. 
  • Represented a senior officer of a public company in connection with SEC and Department of Justice investigations involving alleged securities law violations among other alleged violations.
  • Defended Washington Mutual Financial Services in connection with a $10 million clearing broker dispute.  
  • Defended Instinet and the Nasdaq Stock Market, Inc. in connection with an SEC enforcement proceeding alleging various violations under Reg. ATS.   
  • Represented Centaur Partners in various litigated matters in federal and state courts in connection with its attempted hostile takeover of The Pennwalt Corporation.
  • Defended Bear Stearns & Co. in connection with its liability as a clearing broker for the acts of the employee of an introducing broker who was involved in a criminal “pump and dump.”
  • Defended Bear Stearns & Co. in connection with an investigation by the U.S. Department of Justice, the SEC and the Manhattan District Attorney’s Office relating to its role as clearing broker for introducing brokers involved in illegal activity.
  • Defended National Partnership Investments Corporation for alleged proxy violations under Section 14 of the Securities Exchange Act of 1934 and alleged breaches of fiduciary duty in connection with a $500 million REIT roll-up transaction.
  • Represented a federally chartered bank in connection with various construction loan disputes.
  • Defended the Centronics Corporation in a securities class action for alleged quarterly report violations under Section 10 of the Securities Exchange Act of 1934.
  • Defended Brean Murray Foster Securities against allegations of fraud by an investment adviser and broker-dealer. 
  • Defended the investment adviser for the Fundamental Family of Funds in connection with an investigation by the SEC for alleged violations under Section 10 of the Securities Exchange Act of 1934 relating to the duration of various bond mutual funds.
  • Defended an investment adviser in connection with alleged proxy violations under Section 14 of the Securities Exchange Act of 1934 relating to the appointment of an investment adviser by the mutual fund.
  • Defended Tandem Management, Inc. in a SEC civil enforcement proceeding regarding “soft dollar” practices.
  • Defended a group of investment bankers against a claim of unfair competition arising out of the uniqueness of the securitizations of commercialized mortgage obligations.
  • Represented Centaur Partners in various litigated matters in federal and state courts in connection with its attempted hostile takeover of The Pennwalt Corporation.
  • Prosecuted civilly a partnership, accountants and attorneys for violations under the Racketeer Influenced and Corrupt Organizations Act (RICO) and Section 10 of the Securities Exchange Act of 1934 in connection with tax shelter investments resulting in a RICO judgment in excess of $35 million.

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