Gabe Mendel defends clients in securities litigation and enforcement matters. He represents broker-dealers and registered representatives in state court litigation, customer arbitrations and investigations by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and multiple state agencies. He handles matters arising from allegations of misrepresentations, accounting fraud, stock manipulation, insider trading, deficient sales practices and supervision, anti-money laundering program weaknesses and other key issues.
In addition, Gabe represents financial institutions and their officers and directors in investigations and litigation by the Federal Deposit Insurance Corporation (FDIC) and the Office of the Comptroller of the Currency (OCC), as well as in shareholder litigation and cases before the American Arbitration Association (AAA). Gabe also represents two Big Four accounting firms in several lawsuits and investigations arising out of the firms’ respective audit work.
Sutherland successfully represented several former officers of a Georgia bank.
Sutherland favorably settled a case within the D&O insurance policy limits for several former community bank executives of a bank which was closed by the FDIC in September 2009. Our clients paid nothing toward the settlement and avoided the expected negative media coverage.
Sutherland represents a national broker-dealer in 200-plus FINRA arbitrations.
A national broker-dealer turned to Sutherland attorneys to handle over 200 FINRA arbitrations arising from mutual funds concentrated in structured finance products.
After an audit client’s bankruptcy, Sutherland steps in to represent the accounting firm.
We represent a Big Four accounting firm in a number of negligent misrepresentation and professional negligence lawsuits arising out of the bankruptcy of the firm’s audit client, formerly one of the largest privately held mortgage originators in the United States.