1185 Avenue of the Americas
New York, New York 10036
Phone: (212) 880-3967
Fax: (212) 880-3998
Cell: (646) 522-2340
Enforcement Defense and Government Investigations
White Collar Defense, Investigations, and Compliance Counseling
Financial Services Advisory and Counseling
Securities and Complex Commercial Litigation
Jonathan Bashi is an associate in the firm’s New York office. His practice focuses on representing companies and individuals in complex securities litigation, enforcement, and white-collar criminal matters. Mr. Bashi has defended clients in private actions against plaintiffs asserting claims under federal and state securities laws, as well as in commercial and corporate governance disputes. Mr. Bashi also represents clients in criminal and civil enforcement investigations and proceedings before the Department of Justice, SEC and CFTC. In addition to his litigation and enforcement work, Mr. Bashi advises broker-dealers and investment advisors on registration, compliance, and other regulatory matters involving the SEC and FINRA.
Prior to practicing law, Mr. Bashi worked at AXA Financial as an Account Executive specializing in pension administration, and compliance with reporting obligations to the IRS and Department of Labor, on various qualified and non-qualified retirement plans.
Mr. Bashi has been named a New York Metro Rising Star (2015) by Super Lawyers.
J.D., cum laude, Brooklyn Law School, 2008; Production Editor, Brooklyn Law Review
B.A., Economics, University of Massachusetts, Amherst, 2000
New York, 2009
U.S. District Court, Southern District of New York
U.S. District Court, Eastern District of New York
U.S. Court of Appeals for the Sixth Circuit
- Murphy & McGonigle, New York, New York, 2011 to present
- Fried, Frank, Harris, Shriver & Jacobson LLP, 2008 - 2011
- Campbell-Ewald and ‘Prepaid Offers’ in Securities Suits, LAW360, Mar. 15, 2016 (with James K. Goldfarb and Michael V. Rella)
- Other People's Money: Drawing the Constitutional Line Between the Right to Counsel and Constraints on Obstructive Fee Advancement in the Wake of United States v. Stein, 73 BROOK. L. REV. 1115 (2008).
Securities Litigation and Enforcement
- Defending a former CFO of a government sponsored enterprise in three putative class action lawsuits alleging securities fraud under the Securities Exchange Act of 1934. Two of the lawsuits were dismissed in their entirety, and the third was settled on very favorable terms after the plaintiff’s motion for class certification was successfully opposed.
- Represented a prime broker as a witness in connection with an SEC investigation of an investment advisory firm for possible securities fraud under Securities Act of 1933, and Securities Exchange Act of 1934.
- Represented individual traders from a Fortune Global 500 bank in connection with a CFTC investigation of manipulation of the ISDAfix rate. The representation concluded with no recommendation of enforcement action against any of the represented individuals.
- Represented individual managers and employees of an investment advisory firm in connection with an SEC investigation into possible securities fraud that concluded with no recommendation of enforcement action against any of the represented individuals.
- Defending a former outside advisor in a private action brought by the company he advised alleging breach of fiduciary duties.
- Represented a mortgage originator in defense of multiple breach of contract lawsuits arising out of the origination and sale of loans for mortgage-backed securitizations. The lawsuits settled on terms favorable to the originator.
- Represented a futures commission merchant in obtaining emergency injunctive relief to prevent account holders from profiting illegally through the use of illicit price-manipulating software.
- Represented an institutional lender in negotiating the
settlement of claims against the borrower, including terms for refinancing and
mezzanine loan foreclosure.
- Representing an investment advisor subsidiary in completing a New Member Application to register with FINRA and the SEC as a broker-dealer. Mr. Bashi also has represented existing broker-dealers in completing Continuing Membership Applications with FINRA and the SEC in order to add new business lines, and following successful completion of mergers and acquisitions.
- Representing a Fortune 500 broker-dealer in conducting an internal review of conduct, research policies and procedures, and recommending changes, following entry into an Acceptance, Waiver and Consent letter with FINRA.
- Represented an in-house attorney in “reporting up” under the Sarbanes-Oxley Act to the company’s audit committee, and in the related internal investigation.