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Home > Lawyers
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Ari M. Berman
Ari M. Berman
Experience | Education | Activities | Publications
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Biography
Ari's main area of practice is commercial litigation with an emphasis on lawsuits involving the federal securities laws. He has significant experience representing financial institutions, underwriters, issuers, officers, and directors in various contexts, including investigations and enforcement proceedings by the SEC, FINRA, and other law enforcement and regulatory agencies. In addition, Ari represents companies in bankruptcy court proceedings and investors in distressed settings and defends companies, officers, and directors in investor and consumer class actions.
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Representative Experience
Securities and Shareholder Litigation
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- Obtained dismissal of claims against directors in securities class action alleging control person liability under the 1933 and 1934 Acts (N.D. Okla.)
- Obtained dismissal of claims against former chief executive officer of public company in defending claims for improper stock option backdating (S.D.N.Y.)
- Represented buyout group member in defeating attempt to derail transaction and in defense of shareholder class actions challenging buyout price (Texas and Kansas State Courts)
Federal and State Regulatory Proceedings
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- Represented private equity firm in New York State Attorney General and SEC investigations involving “pay-to-play”
- Representing petroleum company in FTC investigation involving anti-competitive conduct in the oil and gas markets
- Represented private equity firm and its board designees in SEC investigation into the collapse of a major oil and gas company
Commercial Litigation
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- Part of trial team that represented publicly traded insurance companies in $1 billion dispute concerning surety bonds (S.D.N.Y.)
- Part of trial team that represented manufacturing conglomerate in tax shelter trial (Court of Federal Claims)
- Part of team that obtained complete dismissal of claims against financial services company in action challenging “Forward Out” financial strategy (New York State Court)
Bankruptcy Litigation
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- Part of trial team that successfully represented financial advisor to creditors’ committee in Bankruptcy Court action arising from advisor’s engagement (In re Fibremark) (D. Vt.)
- Representing private equity firm in bankruptcy of a portfolio company, including Bankruptcy Court-appointed Examiner’s investigation and avoidance claims brought by Litigation Trustee (In re: SemGroup) (D. Del.)
- Representation of Shinsei Bank in connection with its claims against Lehman Brothers Holdings, Inc. (S.D.N.Y.)
Pro Bono
- Representation of asylum seekers from Rwanda, Bhutan, Burma, Cote d'Ivoire, and China in connection with asylum applications and contested hearings
- Representation of national civil rights organization in connection with various policy and legal concerns
Prior results do not guarantee a similar outcome.
Education and Professional Background
- New York University School of Law, J.D., 1999 (NYU Law Review, 1997 - 1999)
- University of Pennsylvania, B.A. History magna cum laude, 1996
- Admitted to practice: New York, 2000; U.S. Court of Appeals for the Second Circuit; U.S. District Courts for the Southern and Eastern Districts of New York; U.S. Court of Federal Claims
Activities and Affiliations
- Member: New York Regional Board, Anti-Defamation League (June 2004-present); Federal Courts Committee, New York City Bar Association
Publications and Presentations
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Full Biography
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666 Fifth Avenue
26th Floor
New York, NY 10103-0040
Tel +1.212.237.0228
Fax +1.917.849.5368
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