Arthur S. Greenspan
Arthur is a savvy litigator and natural problem-solver with a decades-long record of successfully assisting companies, boards, and individuals in complicated litigations and arbitrations and regulatory and other investigations.
Arthur Greenspan represents clients in a variety of industries, especially financial services, technology, and digital assets. He has extensive experience in matters involving securities trading and markets, securities regulation, complex financial products, corporate governance, accounting and disclosure, fiduciary duties, mergers and acquisitions, special purpose acquisition companies, and taxation.
Arthur regularly represents clients in federal and state courts in New York, Delaware, and elsewhere and in arbitrations. He also represents clients in investigations conducted by the U.S. Department of Justice, the U.S. Securities and Exchange Commission, the Commodity Futures Trading Commission, the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, committees of the U.S. Congress, the Financial Industry Regulatory Authority, and the office of the New York Attorney General. He also has significant experience representing board committees in internal investigations. Arthur's exemplary work and professionalism have earned him recognition as a top litigator and a leader within the legal community. He is currently a director of the Federal Bar Foundation and is a former president of the Federal Bar Council American Inn of Court and vice president of the Federal Bar Council.
Areas of focus
Education & Credentials
Education
- Harvard Law School, J.D., magna cum laude, 1989
- Princeton University, B.S.E., summa cum laude, 1986
Bar and Court Admissions
-
New York
- Supreme Court of the United States
- U.S. Court of Appeals for the Second Circuit
- U.S. District Court for the Southern District of New York
- U.S. District Court for the Eastern District of New York
Related Employment
- Richards Kibbe & Orbe LLP, New York, NY, 1994-2020
- Wachtell, Lipton, Rosen & Katz, New York, NY, 1991-1994
Clerkships
- Hon. John M. Walker, Jr., U.S. Court of Appeals for the Second Circuit
Professional Recognition
Selected by Super Lawyers Magazine as a New York Super Lawyer in Securities Litigation, 2007-2021
Impact
Professional Leadership
- Federal Bar Foundation, Director, 2019-present
- Federal Bar Council, Vice President, 2011-2017
- Federal Bar Council American Inn of Court, President, 2009-2010
- New York State Bar Association, Committee on White Collar Criminal Litigation, Member
Insights
News
Professional Experience
Significant Institutional Representations
- Part of Perkins Coie team serving as independent compliance consultant to major international financial institution to review company’s worldwide trade surveillance program, in connection with settlements between company and Office of Comptroller of the Currency (OCC), Board of Governors of the Federal Reserve System, and Commodity Futures Trading Commission (CFTC).
- Part of team defending major energy company in Oregon state court lawsuit filed by Oregon county charging multiple energy companies with responsibility under state tort law for recent extreme heat events in Pacific Northwest.
- Representing global bank in asset recovery litigation brought against former employee who embezzled funds and family members who aided and abetted embezzlement.
- Representing hedge fund in connection with (i) investment adviser review by U.S. Securities and Exchange Commission (SEC) Division of Examinations and (ii) internal compliance investigations.
- Defending bank in New Jersey state court lawsuit alleging that bank bears legal responsibility for asbestos contained in building in which bank allegedly held financial interest.
- Represented Audit Committee of retail company in investigation regarding company’s relationship with activist investor and represented company in SEC investigation regarding trading in company’s securities by activist investor.
- Represented founder and corporate seller of technology company in dispute with buyer of company, litigated in both New York and Delaware state courts, concerning representations in purchase agreement.
- Defended exchange-traded fund company and related index provider in New York state court litigation and subsequent arbitration brought by minority investor.
- Represented board committee of leading brand management company in internal, SEC, and U.S. Department of Justice (DOJ) investigations of revenue recognition and other accounting issues.
- Represented hedge fund in SEC investigation concerning potential insider trading in securities of pharmaceutical company.
- Represented blockchain-based company in dispute with former consultant regarding alleged entitlement to tokens.
- Advised blockchain-based company with respect to U.S. securities law compliance.
- Defended European bank in New York state court litigation brought by alleged beneficial owner of corporate account held at Italian branch.
- Represented hedge fund in connection with insider trading and market manipulation allegations made by French financial markets authority.*
- Represented brokerage firm in internal investigation and potential regulatory investigation concerning possible insider trading.*
- Represented major securities firm in industrywide Financial Institution Regulatory Authority (FINRA) investigation concerning research analyst communications with issuers and sponsors in connection with initial public offerings (IPOs).*
- Represented hedge fund in SEC investigation regarding collateralized debt obligations (CDOs) backed by subprime mortgage assets.*
- Represented public company board committee in internal investigation regarding allegations of insider trading made by an institutional shareholder.*
- Represented private equity funds in internal investigation regarding management of real estate investments.*
- Represented major financial services corporation in putative antitrust class actions alleging price-fixing conspiracy and manipulation in auction rate securities market.*
- Represented securities firm in litigation with counterparty bank concerning disputed credit default swap in subprime mortgage-backed securities market.*
- Represented medical nutrition company in DOJ investigation concerning alleged Medicare fraud in enteral nutrition industry.*
- Represented securities firm in SEC Foreign Corrupt Practices Act (FCPA) investigation concerning Latin American sovereign debt transactions.*
*Prior experience
Significant Individual Representations
- Represented technology company founder and former CEO in dispute with company, litigated in both New York federal and Delaware state courts, concerning founder’s rights to exercise options and participate in tender offer.
- Represented senior executive of global bank in DOJ and SEC investigation regarding allegedly illegal transactions and money transfers by Latin American clients.
- Represented former company chief financial officer in New York attorney general investigation regarding alleged false statements in company's federal and state tax returns.
- Represented former senior executive of large financial institution in connection with DOJ, SEC, CFTC,Federal Reserve, and Congressional investigations relating to trading losses in synthetic credit portfolio.*
- Represented former securities firm executive in criminal investigation and prosecution based on third-party theft of client funds.*
- Represented former Swiss private banker in criminal investigation and prosecution alleging aiding and abetting of U.S. clients in evading taxes.*
- Represented former senior executives and traders at major securities firms in DOJ, SEC, and New York attorney general investigations concerning residential mortgage-backed securities (RMBS) and CDOs.*
- Represented former head of bank's municipal derivatives sales desk in DOJ, SEC, and Office of the Comptroller of the Currency (OCC) investigations concerning alleged anticompetitive practices in municipal derivatives market.*
- Represented executive at large manufacturing company in DOJ antitrust and FCPA investigations concerning marine hose industry.*
- Represented leading telecommunications industry research analyst at major securities firm in DOJ, SEC, New York attorney general, National Association of Securities Dealers (NASD) and New York Stock Exchange (NYSE) investigations concerning alleged analyst conflicts of interest.*
*Prior experience
Significant Amicus Representations
- Represented prosecutor group in brief to U.S. Supreme Court supporting 2022 federal rule that brings kits for building “ghost guns” within definition of firearm.
- Represented organization supporting survivors of domestic abuse in brief to Wisconsin Supreme Court concerning state statute governing anti-harassment restraining orders;
- Represented prosecutor group in brief addressing policy problems stemming from proliferation of “ghost guns” and absence of federal regulation of ghost gun-building kits as firearms; submitted to federal district court.
- Represented antitrust economists in brief addressing methodology for evaluating competitive impact of mergers; submitted to federal district court in communications industry merger litigation.*
- Represented financial economists in brief addressing standards for evaluating efficiency of securities markets; submitted to U.S. Court of Appeals for the Second Circuit in petroleum company securities litigation.*
- Represented former SEC officials in brief addressing policy and tolling arguments in connection with statute of limitations; submitted to U.S. Supreme Court.*
- Represented former prosecutors in brief addressing systemic and unconstitutional deficiencies in state's system for provision of legal services to indigent defendants; submitted to New York Court of Appeals.*
*Prior experience