Shari A. Brandt

Shari A. Brandt

Attorney Profile

Top Rated White Collar Crimes Attorney in New York, NY

Richards Kibbe & Orbe LLP
 | 200 Liberty Street, New York, NY 10281
Phone: 212-530-1874
Fax: 212-530-1801
Selected To Super Lawyers: 2012 - 2020
Selected To Rising Stars: 2011
Licensed Since: 1997
Practice Areas:
  • Criminal Defense: White Collar (50%),
  • Securities Litigation (30%),
  • Business Litigation (20%)
    Attorney Profile

    Shari Brandt concentrates on internal investigations, complex litigation and securities enforcement defense work with a special focus on capital markets and the financial industry.  Ms. Brandt regularly represents financial institutions, corporate officers, securities professionals, and other individuals in civil litigations at the federal and state level, arbitrations, and mediations, as well as in investigations by the SEC, CFTC, FINRA and other regulatory bodies.  Recent representative matters include representing a bond insurer in numerous litigations and regulatory inquiries concerning auction rate securities and residential mortgage-backed securities, representing a brokerage firm in connection with domestic and international regulatory inquiries into the setting of LIBOR, ISDAFIX and other benchmark rates as well as credit default swaps, and representing an independent distribution consultant in connection with the administration of a market timing Fair Fund.  Ms. Brandt also writes and lectures on ethical issues of importance to litigators and their clients.  

    Ms. Brandt was recently recently recommended by The Legal 500 United States in the areas of litigation, white collar criminal defense and regulatory law (2010-2018 Editions).  Comments made by clients surveyed include: Ms. Brandt possess a “deep knowledge of the subject matter, sound judgment, [and] great instincts and[is recognized for being] very client service oriented"; and Ms. Brandt is "exteremly smart, experienced, hardworking and thorough."  

    Under the rules of certain jurisdications, including NY, this statement may constitute Attorney Advertising.

    About Shari Brandt

    Admitted: 1997, New York

    Professional Webpage:


    • Ms. Brandt was selected by Benchmark Litigation as a Top Woman in Litigation (2015-2018) and as a Local Litigation Star (2016-2019).

      , Benchmark Litigation, Benchmark Litigation, 2018
    • Ms. Brandt was ranked by Chambers USA as a Recognized Practitioner in Litigation: White Collar Crime & Government Investigations.

      , Recognized Practitioner in Litigation: White Collar Crime & Government Investigations , Chambers USA, 2018
    • Ms. Brandt was recently recently recommended by The Legal 500 United States in the areas of litigation, white collar criminal defense and regulatory law (2010-2018 Editions).  Comments made by clients surveyed include: Ms. Brandt possess a “deep knowledge of the subject matter, sound judgment, [and] great instincts and[is recognized for being] very client service oriented"; and Ms. Brandt is "exteremly smart, experienced, hardworking and thorough." 

      , Legal 500
    • Ms. Brandt was recently named one of Global Investigation Review's top 100 Women in Investigations.  The publication featured 100 female lawyers, goverment prosecutors, barristers, forensic accountants and various in-house counsel, selected from an international pool of nominees, who "serve as inspirations to current and future generations of investigations professionals."  In her profile, Ms. Brandt discussed her practice, career highlights, inspirations and advice, as well as the issue of gender equality., Top 100 Women in Investigations, Global Investigation's Review, 2015
    • Ms. Brandt was identified as Recommended in the litigation, white-collar defense and regulatory section of, The Legal 500 United States - 2012 Edition

    Bar/Professional Activity:

    • Ms. Brandt is a member of Futures and Derivatives subcomittee and the Class Action Litigation subcommitee of the American Bar Association.

      , 2018
    • Ms. Brandt was selected as a member of the Law 360 Securities Editorial Advisory Board (2017-2018).

      , 2018
    • Member of Women in White Collar subcommittee of New York City Bar.

      , 2018
    • Ms. Brandt was selected as a Fellow of the American Bar Foundation.

      , 2018

    Pro bono/Community Service:

    • Ms. Brandt is a Member of the Jerwish Federation of Greater Metrowest NJ Board of Trustees and a Member of the Board of Trustees of Jewish Family Services of Metrowest NJ. 

    Scholarly Lectures/Writings:

    • The webinar covered critical steps that lawyers should take when conducting internal investigations, key considerations before undertaking a dual representation of a corporate client and one or more employees, as well as how to protect the firm and corporate clients when undertaking a dual representation., Presenter, Webinar Presentation: "What Litigators Need to Know about Dual Representation and Potential Conflcits of Interest During Internal Investigations - Understanding the Impact of United States v. Nicholas, 2009
    • Shari Brandt moderated an interactive panel at the 6th Securities Litigation:  Managing the Newest Risks and Exposures conference put together by IQPC.  The panel was entitled "The Judicial Panel:  Valuable Insights from the Bench", and Ms. Brandt's contribution focused on subprime litigation and the impending influx of structured productions litigation and credit default swaps claims, as well as new investor claims and the success of defense strategies related to non-traditional claimants., Moderator, 5th Securities Litigation: Managing the Newest Risks and Exposures, 2009
    • "Failure to Follow U.S. Electronic Discovery Rules Carefully May Lead To Heavy Sanctions For Parties And Their Lawyers" authored by Richards Kibbe & Orbe LLP partners Shari A. Brandt and James Q. Walker was published in the May 2010 edition of Financier Worldwide. This article describes the importance of business people working closely with in-house and outside lawyers from the outset of a litigation to preserve and collect documents, provides guidance on steps to ensure preservation and production responsibilities are carried out appropriately, and discusses several cases illustrating the potentially significant cost of failing to do so., Failure to Follow U.S. Electronic Discovery Rules Carefully May Lead to Heavy Sanctions for Parties and Their Lawyers, Financier Worldwide, 2010
    • In its January 2010 issue, Financier Worldwide has gathered the opinions of the corporate advisory and dealmaking community to explore their insights into current and emerging trends in its "Market Outlook 2010." Shari A. Brandt and James Q. Walker are featured here discussing the intensifying regulatory challenges that public companies and their senior executives face and ways to minimize exposure to liability., Market Outlook 2010, Financier Worldwide, 2010
    • Gretchen L. Lowe, Acting Director of the Division of Enforcement for the Commodity Futures Trading Commission (CFTC), participated in April 2014 in a panel at the SIFMA Compliance and Legal Society Annual Seminar on the topic of current enforcement issues. Though speaking on behalf of herself and not the CFTC, her remarks give helpful insight into the Division’s enforcement priorities for 2014 and factors that the Division will consider when determining whether to charge an institution. In this memorandum, Richards Kibbe & Orbe LLP partner Shari A. Brandt discusses Lowe’s remarks and what they may indicate about the CFTC’s presence in the financial regulatory space, its jurisdiction, and its goals in the coming future., Author, CFTC Enforcement Outlook, 2014
    • As the primary global benchmark for short-term interest rates, the London Interbank Offered Rate (LIBOR) serves as an indicator for many currencies. It is tied to over $350 trillion of financial and retail products, including loans, derivatives, interest rate futures and options contracts, mortgages and student loans. Since 1986, LIBOR has been regarded as a barometer of strain in the money markets and a transparent reflection of economic reality. A number of banks have recently admitted that they attempted to manipulate LIBOR for years. In this white paper, Richards Kibbe & Orbe LLP attorneys Jon Kibbe, Shari Brandt and Marina Zelinsky provide an overview of the LIBOR framework, the allegations of LIBOR manipulation, and the regulatory and institutional changes that have been implemented to date to help restore LIBOR’s integrity and avoid future manipulations., Author, Benchmarking LIBOR: A Controversial History, An Uncertain Future, 2014

    Other Outstanding Achievements:

    • Clerkship, Honorable Robert D. Sack, United States Court of Appeals for the Second Circuit


    • In United States v. Ruehle, Slip. Op. (9th Cir. Sept. 30, 2009), the Ninth Circuit reversed the suppression order issued in United States v. Nicholas, 606 F.Supp.2d 1109 (C.D.Ca. Apr. 2009) based on the lower court’s application of the wrong privilege standard, but left intact that portion of the Nicholas opinion suggesting that attorneys need to provide and document complete Upjohn warnings and avoid dual representations absent a written conflict waiver. The attached article is a short memorandum examining the important distinction drawn in Ruehle between application of federal and state privilege rules, and the Ninth Circuit’s reinforcement of the lessons learned from Nicholas., Ninth Circuit's Reversal of Evidence Exclusion in Broadcom Case Does Not Alter Lessons Learned Regarding Upjohn Warnings
    • Possible limitations on the protection provided by Upjohn warnings in light of the decision in United States v. Nicholas, Can an Upjohn Warning Avoid Representational Ambiguity, NYSBA: Corporate Counsel Section
    • A recent federal court decision, United States v. Nicholas, No. SACR 08-00139-CJC, -- F. Supp. 2d --, 2009 WL 890633 (C.D. Ca. Apr. 1, 2009), casts further doubt on whether a traditional Upjohn warning to an employee can be relied upon to protect a corporate client’s ownership of the attorney-client privilege, particularly if the corporate client’s lawyer had a prior attorney-client relationship with the employee or represents the employee concurrently.  What follows is a short memorandum examining this decision in the context of other decisions that have addressed similar privilege issues, and offering guidance on steps to take to increase the likelihood that the attorney-client privilege will be preserved when interviewing company employees., Issuing a Proper Upjohn Warning Will Not Cure Multiple Representation Conflicts, Friends And Clients Memorandum

    Educational Background:

    • Cornell University, A.B., 1992
    • Fordham University School of Law, magna cum laude, 1996

    Industry Groups

    • Financial
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    Office Location for Shari A. Brandt

    200 Liberty Street
    New York, NY 10281

    Shari A. Brandt:

    Last Updated: 3/30/2020

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