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Therese M. Doherty

Member / Co-Chair, Financial Services Practice

[email protected]

+1.212.692.6722

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Therese is a tenacious litigator with a reputation for developing and implementing creative strategies that drive successful outcomes for her clients. She has consistently been rated one of the country’s top securities lawyers by The Legal 500 United States, which calls her an “excellent partner to clients,” and hails her “ferocity, intelligence and perseverance in litigation” as well as her “depth of industry knowledge.”

In addition to her reputation as an exceptionally successful litigator in federal and state jury and bench trials, Therese has achieved a national reputation for successfully defending firms and individuals in investigations and enforcement proceedings initiated by government agencies. She has successfully defended clients in matters before the CFTC, SEC, and DOJ; self-regulatory organizations including the NFA and FINRA; and futures and derivative exchanges.

Clients in the securities and financial industries regularly rely on Therese for representation and counsel in high-stakes litigation matters. She has represented banks, broker-dealers, futures commission merchants, and industry executives in complex civil litigation, regulatory enforcement proceedings, and internal investigations involving securities, futures, and derivatives.

In addition, Therese regularly works with clients to develop effective strategies for handling corporate crises, and provides incisive regulatory counseling, leveraging her litigation experience to help clients develop effective policies, procedures, and controls to ensure compliance with industry regulations. She has successfully represented clients in cases involving regulatory concerns such as spoofing, wash trades, market manipulation, high-frequency trading, swap data repositories and the setting of LIBOR rates, as well as in complex matters involving, among other issues, accounting improprieties, allegations of fraud, and RICO violations.

Leading financial institutions also call on Therese for help resolving recruitment and other employment-related disputes. She has consistently achieved successful results for clients on both sides of preliminary injunction hearings seeking to enforce restrictive covenants.

Prior to joining Mintz, Therese was a partner in the New York office of another large law firm, where she co-chaired the litigation department and led the securities, futures, and derivatives litigation practice.

Education

  • Brooklyn Law School (JD)
  • University of Massachusetts (BA, cum laude)

Recognition & Awards

  • Included on Crain's New York Business: Notable Women in Law list (2019)
  • The Legal 500 United States: Top Securities Lawyer

Involvement

  • Member, Futures and Derivatives Committee, New York City Bar Association
  • Member, Board of Directors, Zoology Foundation

Recent Insights

News & Press

Viewpoints

Insurance and Financial Services Thumbnail
This alert outlines the conditions set forth in the DSIO and DMO’s no-action letters providing temporary relief to market participants facing COVID-19–related challenges.
Read more
Insurance and Financial Services Thumbnail

Regulatory Update for NFA and FINRA Member Firms — COVID-19

March 18, 2020 | Alert | By Therese Doherty, Kara M. Cormier, Jason Burrell

This alert from the Mintz Financial Services Practice reviews the recent relief and guidance provided for NFA and FINRA member firms related to challenges posed by the COVID-19 pandemic.
Read more

News & Press

News Thumbnail
In an article published by Newsday, Mintz Member and Co-chair of the firm’s Financial Services Practice Therese Doherty commented on efforts to resolve foreclosure lawsuits in a settlement setting, as New York state courts begin to lift certain restrictions on non-essential cases that were implemented in response to COVID-19.
Financial services and securities litigator Therese Doherty is a Member in the Mintz New York office. She was quoted in a New York Times article regarding a $47 million settlement reached with the Commodity Futures Trading Commission and three major banks for charges related to market manipulation.
Mintz continues to expand its New York presence with the addition of Sean Grygiel, who joins as a Member in the Intellectual Property Practice. He counsels clients on all aspects of intellectual property, from idea and conception through commercialization and exit.
This article features Therese Doherty and her move to Mintz from Herrick Fernstein LLP in New York. Therese joins as a Member in Mintz’s Litigation Department.
Press Release Thumbnail
Continuing the expansion of its national Litigation Practice, Mintz announced the addition of Therese Doherty as a Member based in New York.  She is the third prominent litigator to join the office in the last two months. 

Events

Moderator
Jan
25
2020

Derivatives and Futures Law Committee Winter Meeting

American Bar Association

La Playa Beach & Golf Resort Naples, FL

Speaker
Jan
24
2019

ABA Derivatives and Futures Law Winter Committee Meeting

LaPlaya Beach & Golf Resort - 9891 Gulf Shore Dr, Naples, FL 34108

Speaker
May
3
2018

40th Annual FIA Law & Compliance Conference Program

Futures Industry Association

Washington, DC

Speaker
May
5
2017

39th Annual Law & Compliance Conference on the Regulation of Futures, Derivatives and OTC Products

FIA Law & Compliance Division

Omni Shoreham Hotel, Washington, DC