Debra Jenks, Partner
Jenks & Harvey LLP
Ms. Jenks has over 30 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers and directors, and financial advisers in retail, industry, and employment disputes as well as in compliance and regulatory matters. She defends registered persons and entities in regulatory matters. She has represented retail and institutional investors in securities matters and arbitration.
Tracey Salmon-Smith, Partner
Faegre Drinker Biddle & Reath LLP
Tracey Salmon-Smith is a partner at Faegre Drinker Biddle & Reath LLP in the Business Litigation Department. She is a member of the Financial Services and Best Interest Compliance teams. Tracey represents broker-dealers before FINRA in arbitrations and mediations related to allegations of sales practice violations and failure to supervise claims. She also handles regulatory inquires, as well as discrimination, whistleblower claims, work-place harassment, wrongful discharge, U5 defamation matters, and expungement proceedings. Previously, Tracey served as in-house counsel at UBS Financial Services Inc. in the litigation group and served seven years as an Assistant United States Attorney for the Eastern District of New York (EDNY). She graduated from Villanova University School of Law. She received her undergraduate degree in English from Dartmouth College.
Margaret L. Watson, Shareholder
Littler Mendelson P.C.
Margaret L. Watson has more than 25 years of experience in employment litigation, internal investigations and alternative dispute resolution. She has litigated numerous cases in federal and state courts as well as in arbitrations (FINRA, AAA, JAMS) and agency proceedings. She regularly defends employers and individual managers in cases involving discrimination and retaliation claims under Title VII, Section 1981, ADA, ADEA, FLSA, FMLA and related New York State and City laws, as well as common law tort and contract claims, including U-5 defamation claims and the enforcement of restrictive covenants. For approximately ten years, Margaret was employed by a large national wealth management and financial services company, where she served as litigation counsel and also helped to design and manage the first corporate ombudsman office for the broker-dealer business of that company. Margaret is a graduate of Harvard Law School, and she began her career as a law clerk to the Hon. Whitman Knapp in the U.S. District Court for the Southern District of New York.
Jeffrey Plotkin, Partner
Finn Dixon & Herling LLP
Jeffrey Plotkin concentrates his practice on securities enforcement defense, complex private securities litigation and arbitration, and internal corporate investigations. Mr. Plotkin started his career in the SEC’s Division of Enforcement, New York Regional Office, where he served as Staff Attorney; Chief of the Branch of Broker-Dealer Enforcement and Interpretations; and Assistant Regional Administrator.
Mr. Plotkin has represented clients in industry and customer disputes before FINRA Dispute Resolution (and its predecessors, NASD, NYSE, and AMEX) for over 25 years. Most recently, in Odeon Capital Group LLC v. Auriga USA, LLC, Case No. 16-00033 (Jan. 12, 2018), a FINRA arbitration panel, upon Mr. Plotkin’s motion, dismissed all claims against Mr. Plotkin’s client after eleven days of hearings on claimant’s direct case, and awarded Mr. Plotkin’s client a total of $400,000 in attorneys’ fees and expenses. The award was confirmed in a contested proceeding before the New York Supreme Court.