Mark Mandel, Esq.
Partner
EDUCATION
■ American University, Washington College of Law, Juris Doctor, 1987
■ Hofstra University, Bachelor of Business Administration - BBA, Finance, General,
1984
PRIOR LAW FIRMS
■ Chapman and Cutler LLP, Partner
■ Lewis Baach Kaufmann Middlemiss PLLC, Partner
■ Troutman Sanders LLP, Partner
BAR & COURT ADMISSIONS
■ Admitted to practice law before the Supreme Court of New York
■ Admitted to practice before the U.S. Court of Appeals for the Second Circuit, the U.S.
District Court for the Northern District of Illinois, the U.S. District Court for the Northern
District of New York, the U.S. District Court for the Eastern District of New York, and the
U.S. District Court for the Southern District of New York.
Practice Summary.
Mark Mandel, a former chief of the New York office of the U.S. Securities and Exchange Commission’s Division of Broker-Dealer Enforcement, focuses his practice on complex securities-related litigation and enforcement. He has over 20 years’ experience as a private practitioner representing investment banks, corporations, investment advisers, hedge funds, and directors and officers in many high-profile matters, from SEC, DOJ, state attorneys general and self regulatory organization investigations to national securities class actions.
Mark has consistently been involved in significant securities industry cases, including, among others, high frequency trading, the CDO investigations, structured and complex products investigations, the Squawk Box investigations, auction-rate securities, student loan investigations, options back-dating, NYSE and SEC specialist investigations, and the Salomon Brothers treasury bond investigation.
Recent favorable results include obtaining a no enforcement action result on behalf of a major financial institution in the Squawk Box investigations; the dismissal with prejudice of a major international investment bank from a $140 million securities fraud suit arising from the aborted sale of a Polish telecommunications company; obtaining, on behalf of a large NYSE-listed REIT, a no-enforcement action letter from the SEC following an investigation of a restatement stemming from allegations by a former chief financial officer claiming whistleblower status; and obtaining the dismissal with prejudice of an NYSE-listed international telecom company in a securities fraud suit seeking $100 million in damages arising out of the sale of a Greek cellular phone company.
Prior to joining Klintworth and Rozenblat IP, Mark was a Partner with the law firms of Chapman and Cutler LLP, Lewis Baach Kaufmann Middlemiss PLLC, and Troutman Sanders LLP.