Since its founding in 1975, Gusrae Kaplan Nusbaum PLLC has become one of the preeminent boutique securities law firms in the United States. Located on Wall Street in the heart of New York’s financial district, the firm’s 21 attorneys and knowledgeable support staff provide sophisticated and cutting edge transactional, regulatory, and litigation services to clients all over the world. Managing Partner Martin H. Kaplan notes that the firm continues to capitalize on its growth and the prestige it has achieved over the last 37 years. He says the firm utilizes the collective wisdom and experience of its attorneys to serve clients with the best and most pragmatic legal advice. “While we have grown into a formidable presence within the marketplace, we have retained our disciplined approach and provide our clients with the experience and sophistication of a large Wall Street firm but with the individual and hands-on attention only a boutique firm can offer,” he says.
Gusrae Kaplan Nusbaum’s attorneys are experienced in providing sophisticated legal advice to its diverse clients in areas including broker-dealer and financial professional representation to commercial business litigation and governmental investigations to representing public and private clients in financing transactions, SEC reporting and corporate governance.
The firm’s clients include domestic and international financial institutions, public and private companies, broker-dealers, investment advisors, Fortune 500 companies, hedge funds, investors, private equity and venture capital firms, and ultra-high net worth individuals. “We’re driven to exceed our clients’ expectations at every turn,” states Mr. Kaplan.
In addition to being a founding partner and its managing member, Mr. Kaplan heads the firm’s litigation and regulatory practice. This practice entails representing clients not only in a wide variety of sophisticated and complex Federal and State litigation, but also representing clients in a variety of civil, criminal and regulatory matters involving the Justice Department, U.S. Attorney’s offices, the SEC, FINRA and other regulatory bodies. The firm is distinguished and well-known for its aggressive advocacy. Attorneys at the firm have become known for their willingness to take on regulators, with Mr. Kaplan and Firm Member Martin P. Russo achieving notable track records in FINRA disciplinary proceedings. “There are many firms that won’t stand up to FINRA, but we’ll take on FINRA in order to achieve a favorable outcome for our clients,” Russo says. “We’re not afraid to be aggressive if regulators are weak on a legal point, and regulators have come to respect our integrity, skill, and knowledge.” Firm member David A. Gehn notes that the firm has multiple reported precedent setting court opinions and arbitration awards demonstrating its tremendous historical success rate in litigating securities industry and commercial disputes in Court and arbitration forums. “We are proud of our lengthy and extensive track record that supports our reputation as being one of the most aggressive, knowledgeable, and leading law firms.” David Frydman, the most recent member of the firm’s commercial litigation group, said his aggressive and innovative approach to litigation “is a natural fit to the firm’s strong work ethic, and unyielding commitment to achieve litigation results for our clients that advance their business goals.”
The firm’s corporate/securities practice is known domestically and internationally and has developed a reputation as one of the leading corporate/securities practices and “go to” firms among investment bankers, venture capital and private equity firms, hedge funds, high net worth individuals and corporations. Lawrence G. Nusbaum––who heads the firm’s corporate/securities practice––notes that the firm’s attorneys are highly collaborative across its departments to provide clients with the most comprehensive service: “The firm combines its collective wisdom and extensive knowledge and experience in our corporate/securities, regulatory, and litigation departments in order to structure and negotiate the best deals for our clients, keeping in mind the nuances of the securities market and how to best protect our clients’ interests.” Mr. Nusbaum also notes that “One of the key factors that separates our firm from others is our knowledge and ability to capitalize on the trends in the ever changing capital markets and our knowledge of the regulatory framework in order to service our clients’ needs, ranging from out-of-the box creative financings, to small private placements to large IPOs.”
The firm also has a thriving international practice, advising international public and private clients throughout the world including in Russia, China, Israel, Hong Kong, Canada, Australia, Sri Lanka, France, Germany, Greece, Morocco and throughout Eastern and Western Europe and Africa. Firm Member Marlen Kruzhkov, himself a native Russian speaker, notes: “Our firm has numerous attorneys that are themselves of an international background and as a group we are fluent in over half a dozen different languages. Our attorneys, therefore, have insight into the unique needs of international clients that allows us to provide optimal guidance to our clients in navigating the U.S. legal system.”