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Benjamin S. Fischer

Benjamin S. Fischer


New York

Benjamin S. Fischer’s practice focuses on representing corporate executives and corporations in high stakes business litigation, criminal actions, and regulatory investigations. He has significant experience litigating almost every aspect of civil and criminal cases in both federal and state court and also has extensive experience handling all phases of arbitrations. Ben has tried criminal and civil cases to verdict and arbitrations to final decisions. He also has significant appellate experience in both state and federal appellate courts. Ben's cases have involved allegations of hedge fund mismanagement, private equity fund mismanagement, securities fraud, insider trading, stock option backdating, market timing, collusion, rate fixing, price fixing, bribery, tax fraud, and money laundering. In addition, Ben has represented both individuals and corporations under investigation by the Department of Justice, the Securities and Exchange Commission, the District Attorney's Office, the Attorney General's Office, and FINRA. He also has represented companies conducting internal investigations and individuals in connection with those investigations.

In June 2014, Ben was named a "Rising Star" by the New York Law Journal, in which he was selected as one of 40 lawyers under the age of 40 that “represent the next generation of dynamic, intelligent, and civic minded New York bar leaders.” He has also been recognized as a Super Lawyer by Thomson Reuters’ Super Lawyers. Benchmark Litigation: The Definitive Guide to America’s Leading Litigation Firms & Attorneys recognized Ben as a “Future Star.” One peer notes, “For my money, he is the one to watch there."

He is a member of the Criminal Law Committee of the New York City Bar Association (he also served on the City Bar's Young Lawyers Committee), the Federal Bar Council (where he serves on its First Decade Committee), and the American Bar Association. He is also a board member of the New York Legal Services Group, one of New York City's largest provider of free civil legal services to low income residents of New York. Ben has significant experience handling pro bono matters, in particular, he has represented numerous indigent defendants in criminal cases pending in both state and federal court.

He is also a regular contributor to The Insider Blog on Forbes.com.

Selected Representations:

  • Kenneth Lipper, former CEO of Lipper Convertibles, L.P., a convertible arbitrage hedge fund, in multiple investigations, civil litigations and arbitrations arising out of the fraud committed by a former portfolio manager. This included fully litigating three arbitration hearings in which all claims against Mr. Lipper—including claims for fraud, breach of fiduciary duty, and negligence—were dismissed. On behalf of the same client, Mr. Fischer helped secure a $15 million arbitration award that required the liquidating trustee of Mr. Lipper’s hedge fund to fully indemnify him for the legal fees and expenses he incurred in successfully defending the litigations. Mr. Fischer’s representation also involves Mr. Lipper’s civil claims against a major accounting firm alleging that accounting firm acted fraudulently and negligently in failing to notify Mr. Lipper of a rogue portfolio manager’s overvaluation of Lipper Convertibles, L.P., a convertible arbitrage investment fund.

  • A former partner at Ernst & Young accused of insider trading both at trial and on appeal before the United States Court of Appeals for the Second Circuit. The appeal decided a groundbreaking issue of first impression in the insider trading arena and held that parties can rightfully defend against insider trading charges – and argue that no insider trading occurred – by relying on an SEC regulation that lawfully permits the communication of confidential information in the context of relationships of trust and confidence (17 C.F.R. § 240.10b5-2).

  • The Chief Financial Officer of a public company in connection with Department of Justice and Securities and Exchange Commission investigations.

  • Numerous employees in connection with investigations conducted by the Department of Justice regarding acts and practices occurring on foreign currency exchanges.

  • The Chief Executive Officer of a private investment fund in an action brought by the Securities and Exchange Commission regarding the purchase and sale of unregistered securities.

  • Multiple individuals under investigation for insider trading by the United States Attorney’s Office.

  • Employees of financial institutions in connection with investigations regarding Anti-Money Laundering and Bank Secrecy Act violations.

  • Numerous employees of a multi-million dollar privately held company under investigation by the Department of Justice for Bank Secrecy Act violations. The investigation concluded with no charges against the company or the employees.

  • Former senior corporate officer of a public company in option backdating investigations conducted by New York County District Attorney’s Office and the Securities and Exchange Commission.

  • Former senior corporate officer of a major financial institution in investigations conducted by Securities and Exchange Commission and New York Attorney General’s Office (as well as related civil actions) concerning market timing in mutual funds.

  • Numerous senior corporate officers in insider trading and accounting fraud investigations conducted by the Securities and Exchange Commission.

  • Former Chief Financial Officer of a public company in connection with an accounting fraud investigation conducted by the Department of Justice and Securities and Exchange Commission.

  • Corporate officers of a large financial institution in a market manipulation investigation conducted by the Securities and Exchange Commission.

  • A large financial institution in internal investigation—and subsequent investigation conducted by the Department of Justice—regarding a rogue trader.

  • Corporations and employees in connection with internal workplace harassment related issues.

  • A large financial institution in internal investigation and subsequent FINRA investigation concerning the conduct of rogue back-office employees engaged in the manipulation of collateral levels.

  • Several businesses in connection with disputes between business partners.