Mendy Piekarski

Partner

Introduction

Mr. Piekarski joined SRF’s Business Litigation & Arbitration Practice Group in 2015. Mr. Piekarski’s practice focuses on securities and complex commercial litigation in state and federal courts as well as in various arbitration tribunals. He also represents corporations and individuals before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and other U.S. regulatory agencies.

Mendy is an active member of the Securities Litigation Committee of the New York City Bar Association.

Experience

Prior to joining SRF, Mr. Piekarski was an associate at a boutique securities litigation and white collar defense law firm. Mr. Piekarski began his legal career at the New York State Attorney General’s Office, Investor Protection Bureau, where he investigated and prosecuted violations of New York’s securities laws. Mr. Piekarski continued his legal career at the Securities and Exchange Commission, working on a wide variety of federal securities matters.

Representative Matters

Securities & Financial Services Litigation

  • Defended public company CFO in class action and derivative shareholder litigation regarding restatement of financial statements and internal controls.  
  • Defended investment bank against claims of false proxy statement and market manipulation.
  • Defended regional bank in lawsuit asserting section 14(a) claims for inadequate proxy disclosures regarding vote on bank’s compensation plan.
  • Represented acquiring public company in accounting dispute regarding valuation of purchased asset.
  • Represented public company issuers and debt investors in convertible note disputes.
  • Defended smart-glasses maker against stock-drop class action alleging improper stock promotional scheme.
  • Defended public company against derivative action alleging breaches of fiduciary duty in mismanagement of company affairs.
  • Defended investment banking individual in SEC action for insider trading and countersued the SEC for unconstitutionality of its Administrative Law Judges. 


Commercial Litigation & Arbitration

  • Represented introducing broker-dealer in commissions dispute with executing broker-dealers.
  • Defended against lawsuit seeking advisory fees for funding of Staten Island Ferris Wheel.
  • Represented national food manufacturer in finder’s fee dispute with financing broker.
  • Represented licensor in action for royalties under a trademark license agreement and to enjoin pending reverse merger and spin-off.
  • Defended post-merger entity against claims of breach of promissory note and fraudulent conveyance of collateral.
  • Represented licensee in software licensing agreement and copyright infringement dispute.
  • Represented broker-dealers in arbitration of customer disputes
  • Represented broker-dealer in action against its former executives for participation in international bribery scheme
  • Represented broker-dealer in dispute for refund of “soft-dollar” commissions 
  • Represented crypto-currency investor in lawsuit seeking delivery of the crypto-tokens and terms of the ICO. 


Real Estate Litigation

  • Represented principals of real estate investment fund in multi-jurisdictional business divorce.
  • Defended real estate investment firm against claims of breach of environmental remediation joint venture agreement. 
  • Represented real estate developers in lawsuits regarding seller’s concealment of commercial properties’ financial condition.
  • Represented assignee of interest in commercial real estate in dispute with subsequent security interest holders.


Regulatory

  • Represented NADSAQ-listed company in SEC investigation of restatement of financials and accounting controls.
  • Defended broker-dealer in FINRA investigation of sales practice violations and compliance program.
  • Defended entity in SEC investigation for market manipulation and section 3(a)(10) violations.
  • Defended individual against SEC investigation for sales of unregistered securities.
  • Conducted internal investigation of broker-dealer regarding international bribery scheme and violations of the Foreign Corrupt Practices Act.
  • Defended broker-dealer in parallel SEC and DOJ investigations of violations of the Foreign Corrupt Practices Act.
mendy piekarski - Securities Law Firm | Sichenzia Ross Friedman Ference LLP

Education

Mr. Piekarski received his J.D. from Boston University School of Law, where he was a member of the Journal of Banking and Financial Law.

Mr. Piekarski received his undergraduate degree in quantitative finance from Binghamton University, where he was a member of the school’s honors program.

Bar Admissions

Mr. Piekarski is a member of the bar of the states of New York, Connecticut  and Massachusetts, and is admitted to the United States District Court for both the Southern District and the Eastern District of New York.

Practice Areas

Business Litigation & Arbitration

Securities Law

Broker-Dealer Regulation

Languages

Mr. Piekarski is conversant in Hebrew

Contact Address

Office: New York

Phone: (212)-930-9700

Fax: (212)-930-9725

Email: mpiekarski@srf.law

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