Ford O' Brien Landy LLP

Ford O’Brien Landy LLP’s appellate practice is grounded in principled advocacy.

Principled advocacy requires judgment: the ability to identify the issues that matter, to understand the governing standard of review, and to present arguments with the credibility appellate courts expect. We bring this judgment to high-stakes federal and state appeals involving unresolved legal questions, complex records, and significant financial and reputational consequences.

Appellate litigation shapes the development of the law. Our approach reflects that responsibility while focusing on our clients’ individual objectives in each case, including preserving a favorable result, overturning an adverse ruling, or narrowing exposure on appeal.

Representative Appeals

Our appellate work reflects the firm’s diverse practice areas and includes:

• In re SBK Art LLC, 2026 WL 478787 (2d Cir. 2026), we secured affirmance of an order granting our application under 28 U.S.C. § 1782 to obtain discovery from a major U.S. Law Firm. The Second Circuit rejected the argument that discovery must be discoverable abroad to be within the scope of § 1782.
• In SEC v. Govil, 88 F.4th 89 (2d Cir. 2023), we secured the reversal of a disgorgement award entered in favor of the Securities and Exchange Commission. The Second Circuit held that disgorgement under the federal securities laws requires proof that investors suffered pecuniary harm. The decision created a circuit split and led to Supreme Court review in Sripetch v. SEC, in which we submitted an amicus brief addressing the scope of the SEC’s disgorgement authority.
• In SEC v. Gentile, 939 F.3d 549 (3d Cir. 2019), we represented an entrepreneur in an appeal addressing whether SEC injunctions are punitive for purposes of the statute of limitations. On remand, the district court dismissed the action against our client.

Current Appellate Engagements

Our current appellate engagements include representing:

• Entrepreneurs in appeals from SEC enforcement actions in the Second and Eleventh Circuits;
• The owner of a megayacht in a Second Circuit appeal arising from a DOJ forfeiture action;
• A financial institution in a petition for a writ of mandamus before the Second Circuit; and
• A defamation plaintiff in an appeal in Ohio state court.

We have experience assuming responsibility for matters for the first time on appeal, bringing independent judgment to the record and the issues presented.

Federal and state law empowers law enforcement agencies to seize property through criminal, or civil asset forfeiture mechanisms. Criminal asset forfeiture is directed against the individual (in personam), and thus can only be imposed in connection with a criminal conviction. Civil asset forfeiture, on the other hand, attaches to the property itself (in rem), and thus can be imposed even if the property owner is never charged with a criminal offense.

Civil asset forfeiture matters are governed by procedural rules and a body of substantive law that are unique and distinct from typical civil commercial disputes. Sometimes, these matters are borne from political agendas, rather than legitimate law enforcement purposes. Law enforcement officials have pursued asset seizure and civil forfeiture based on allegations of securities law violations, insider trading, money laundering, and sanctions violations. We are not only experienced in these underlying practice areas, but we have the experience and know-how to fight for clients’ property interests in these unique cases.

With offices in New York City and Austin, Ford O’Brien Landy LLP offers individual and business clients the sophisticated approach that can help protect their bottom line. Our attorneys have handled a number of extremely complicated litigation in state, federal, and appellate courts.

We have a long history of obtaining successful results for our clients, whether they are on the plaintiff’s, or defendant’s side. We develop creative strategies to provide each with high-quality representation, and offer several fee structures. We keep clients’ goals and expectations at the center of our focus when handling each case. We are committed to helping clients get the best possible outcome both in and out of court.

We Help Clients Build Effective Litigation Strategies

As a boutique law firm, we focus our practice on representing all manner of businesses, and individuals, including investment funds, technology companies, and manufacturers, as well as principals, managers, and professionals with complex litigation concerns. Some of the various litigation matters on which we have worked include:

• Breach of contract
• Breach of fiduciary duty
• Business founder disputes
• Fraud, and securities fraud
• Aiding, and abetting claims
• Commercial arbitration
• Theft of trade secrets/unfair competition
• Disputes over financing agreements/lender liability
• Copyright and trademark disputes
• Restrictive covenants
• Judgment enforcement
• Appeals

Our main goal is to help clients develop the approach that best minimizes the potential risks, and damages that may result from a dispute, best maximizes the chance at recovering losses, or both. Whether a client is facing the threat of litigation, or is considering a suit against another company, or entity, we help determine and implement the best legal plan to advance their specific interests, and guide them through it every step of the way.

We understand that commercial litigation is always an investment. As a firm, we know that each clients’ primary objective is to achieve to the best outcome as quickly as possible. Sometimes those objectives are met through forceful litigation, sometimes through a well-negotiated settlement, and sometimes by walking away. We help clients evaluate the risks and potential returns of a case at the beginning, and as the case evolves.

At Ford O’Brien Landy LLP, we provide aggressive representation to individuals under investigation or indictment for federal or state white collar crimes. Several of our attorneys have served in government at law enforcement agencies, and have deep trial experience. Because of our decades of experience in and out of government, we understand the steps necessary to build a winning strategy in each client’s case. Indeed, our victories have included a full acquittal after a federal criminal trial of a hedge fund CFO, dismissals of federal and state indictments and complaints, and closures without charges of investigations of our clients by prosecutors and regulators.

Comprehensive Strategies To Help Clients Fight Back

We have helped many officers, executives, and brokers, as well as foreign and domestic companies, devise comprehensive strategies aimed at fighting the charges, protecting clients’ freedom, livelihood, and assets, and minimizing damage to their reputation. We have handled a number of high-profile criminal cases, and know how to effectively limit the potential consequences that may result from increased public attention.

We are focused on making sure that the approach that we take offers clients protection throughout the criminal investigation or case, as well as any civil regulatory matters that may be connected. Some of the types of white collar charges that our lawyers help clients defend against include:

• Mail and wire fraud — including the alleged use of electronic devices to spread information that is intended to defraud investors
• Insider trading — when brokers or firms are accused of using insider information to buy or sell stock or crypto/digital assets at a huge profit before this knowledge becomes known to the general public
• Securities fraud — when brokers or companies are charged with devising schemes that allow them to increase their profits at the expense of investors
• Money laundering — when a business or individual is alleged to be hiding or “laundering” money in order to make it appear legitimate