Stephen M. Plotnick

Stephen M. Plotnick

Stephen M. Plotnick


2 Wall Street, New York, NY 10005
212-238-8772, Fax: 212-732-3232
plotnick@clm.comDownload Vcard

Practice Description

Stephen Plotnick has nearly twenty years of experience representing clients in connection with complex business, financial, and commercial litigation matters, including with respect to fraud, consumer fraud, antitrust, securities, and capital markets litigation. His experience includes all levels and aspects of pre-trial, trial, and appellate litigation in state and federal courts, bankruptcy courts, before domestic and international arbitration tribunals, and in connection with regulatory and enforcement proceedings and internal investigations. He has represented clients in class, derivative, interpleader, and individual claims involving issues of common law and statutory fraud, federal and state securities and antitrust laws, business torts, fiduciary duty and corporate governance matters, insider and control issues, equitable subordination, preference, and fraudulent conveyance litigation, contract disputes, shareholder oppression, valuation and appraisal rights, and director, officer, shareholder, partner, and member rights and liability.

Stephen’s clients over the years have included publicly-traded and private companies; financial services and securities industry firms and customers; foreign and domestic institutional investors; broker-dealers, investment banks, and issuers; hedge funds, private equity funds, and other private investment vehicles, funds, and portfolio companies; officers, directors, and executives; real estate developers and investment firms; special purpose off-shore vehicles and entities; and start-ups, closely-held corporations, and family and other private business owners and investors.

He has prosecuted and defended against claims arising out of a wide-variety of matters involving structured finance, capital markets transactions, and complex financial products, such as collateralized debt obligations, mortgage and other asset-backed securities, and credit default swaps; mergers and acquisitions; commercial financing transactions; fraud, insider trading, and short-swing profits; control person liability; registration statements and prospectuses; customer, prime brokerage, and account-related disputes; investment management and trading disputes; bonus and other executive compensation; restrictive covenants, raiding, unfair competition, and defamation; and business divorces. Stephen also advises clients in connection with internal investigations, regulatory inquiries, enforcement proceedings, responses to non-party subpoenas, and often prepares clients for trial examinations, depositions, and other “on-the-record” testimony.


  • 1999 New Jersey
  • 1999 U.S. District Court, District of New Jersey
  • 2001 New York
  • 2005 U.S. District Court, Southern and Eastern Districts of New York
  • 2009 U.S. Court of Appeals, Second and Third Circuits


  • Arbitrator, FINRA Dispute Resolution
  • Member, New York State Bar Association
  • Member, New York City Bar
  • Member, ABA Section of Litigation, Commercial and Business Litigation and Securities Litigation Committees


  • B.A., 1996 University of Maryland
  • J.D., 1999 Seton Hall University School of Law (cum laude)

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