(212) 530-1816
(917) 344-8816 fax
agreenspan@rkollp.com

One World Financial Center
New York, NY 10281-1003

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Arthur S. Greenspan

Partner

Arthur S. Greenspan helps clients effectively defend and manage complex governmental investigations and private litigation. The focus of his practice is representing financial and other companies and individual executives and financial professionals in securities enforcement and white collar criminal matters and in complex commercial litigation. Mr. Greenspan regularly represents clients before the U.S. Department of Justice (DOJ), the U.S. Securities and Exchange Commission (SEC), the New York State Attorney General, and the Financial Industry Regulatory Authority (FINRA). He also has substantial experience representing clients in the federal and state courts and before arbitration panels. In addition, he advises clients on compliance, litigation and transactional issues and helps clients prepare compliance policies and procedures.

Mr. Greenspan is experienced in the areas of securities law, corporate law and governance, federal criminal law – including money laundering, the Foreign Corrupt Practices Act (FCPA) and RICO – antitrust law, insurance and reinsurance law, and GAAP accounting. Examples of Mr. Greenspan’s recent engagements include:

• Representing a major bank in defense of putative antitrust class actions alleging a price-fixing conspiracy and manipulation in the auction rate securities market;
• Representing an international securities firm in an NYSE/FINRA investigation concerning alleged misuse of material nonpublic information by one of the firm’s research analysts;
• Representing a large securities firm in litigation with a counterparty bank concerning a disputed credit default swap in the subprime mortgage-backed securities market;
• Representing an agent bank in litigation with a group of lender banks regarding the agent bank’s indemnification claim against the other banks;
• Representing a pharmaceutical company in investigations by the DOJ and the Department of Health and Human Services concerning alleged Medicare fraud in the enteral nutrition industry;

• Representing an executive at a major securities firm in DOJ criminal antitrust investigation into the municipal tax lien market;
• Representing former CFO of a Fortune 20 company in DOJ and SEC investigations concerning alleged fraudulent misrepresentations in the company’s SEC filings;
• Representing former head of a bank’s municipal derivatives sales desk in DOJ criminal antitrust and SEC investigations regarding the municipal derivatives market;
• Representing an executive at a large manufacturing company in DOJ criminal antitrust and FCPA investigations concerning the marine hose industry;
• Representing former senior employees at a major securities firm in connection with DOJ, SEC and New York Attorney General investigations concerning the subprime mortgage-backed securities market and the auction rate securities market.

Mr. Greenspan’s work and professionalism have earned him recognition as a top litigator and a leader within the legal community. He has been recognized in New York Super Lawyers in the area of securities litigation (2007, 2008, 2009). He is an active member of the Federal Bar Council and is currently the President of the Federal Bar Council American Inn of Court.

Mr. Greenspan is admitted to practice in the State of New York and in the United States District Courts for the Southern and Eastern Districts of New York.