- J.D., Benjamin N. Cardozo School of Law, 2009, Cardozo Journal of International and Comparative Law
- B.A., University of Chicago, 2003
- Intern to the Honorable Lois Bloom, U.S. Magistrate Judge for the Eastern District of New York
- New York
- U.S. Court of Appeals for the Second Circuit
- U.S. District Court for the Southern and Eastern Districts of New York
Sarah Aberg is an associate in the Government Contracts, Investigations & International Trade Practice Group in the firm's New York office.
Areas of Practice
Ms. Aberg’s practice encompasses securities regulation, compliance, and litigation as well as internal investigations and white collar defense. She frequently represents broker-dealers and associated individuals who are the focus of SEC, FINRA and other regulatory investigations. She has conducted numerous internal investigations into a wide variety of allegations, including insider trading, unauthorized trading, and other retail brokerage sales practice violations. Ms. Aberg has also represented banks, broker-dealers, securities professionals and individuals in connection with investigations and inquiries by the Department of Justice, FINRA, and the New York Attorney General’s and District Attorney’s Offices.
- The Private Bank division of a global investment bank in connection with ongoing FINRA, SEC and state securities regulatory inquiries and investigations.
- Senior mortgage finance professionals in RMBS-related investigations and litigations.
- Financial advisors in connection with SEC investigation into Forex trading platform.
- A securities broker in DOJ/SEC investigation regarding bond trading practices.
- A federal savings bank charged with mortgage and securities fraud by the Manhattan District Attorney.
- An international retailer in a federal civil asset forfeiture action concerning structuring allegations.
- Skaarup Shipping International in successfully defeating a $50 million prejudgment attachment in the District of Connecticut.
- CIT Financial Services, Inc. in a New Jersey arbitration over breach of contract.
- General Dynamics Corp. in filings with the US. Maritime Administration.
- The Metropolitan Corporate Counsel, July 2014
- Law360, October 25, 2013
- LexisNexis, April 2, 2012
Corporate & Securities Law Blog Posts
- "Eleventh Circuit Holds That a Corporation Is Not Distinct From Its Agents For Purposes of a RICO Enterprise, Following Sister Circuits," September 16, 2016
- "Second Circuit Limits “Tippee” Insider Trading Liability," December 11, 2014
- "Second Circuit Effectively Reverses Rejection of SEC's Settlement with Citigroup," March 30, 2012
- "Fifth Circuit Rejects Section 10(b) Scheme Liability in Absence of Explicit Attribution of Conduct or Statements to Defendant," November 17, 2010
- "Second Circuit Rejects Application Of "Bespeaks Caution" Doctrine To Statement Containing Both Historical And Forward-Looking Elements," September 28, 2010
- "Third Circuit Holds That Mixed Present/Future Statements Are Protected By Reform Act Safe Harbor," August 27, 2010
- "Second Circuit Affirms Dismissal Of Securities Fraud Complaint, But Rejects Reform Act Safe Harbor Defense," June 8, 2010
- "In Omnicom Second Circuit Provides Guidance On What Type Of Information Will Justify Investor Reliance For Securities Fraud," April 6, 2010
Government Contracts, Investigations & International Trade Blog Posts
- "REGULATORS, QUANT UP! New Rules from FINRA, SEC and CFTC Target Automated Algorithmic Trading," February 26, 2016
New York Commercial Division Round Up Blog Posts
- "New Commercial Division Rule Seeks to Streamline Privilege Log Requirements for Litigants," October 7, 2014
- "It Ain't Over 'Till the Fat Lady Sings - Party's Contractual Obligations Continue In Agreement To Negotiate," January 28, 2013
- "You May Want to Keep That Opinion To Yourself - Commercial Division Considers Whether a Legal Opinion Letter Triggers Personal Jurisdiction Under the CPLR," October 16, 2012
- "Commercial Division Clarifies Limits of Choice of Law Provision in Indentures," February 13, 2012
- "Partnership Pitfalls -- Things to Keep in Mind When Filing a Notice of Pendency Involving Partnership Assets," July 6, 2011
- "Trustee's Establishment of Litigation Reserve Deemed Reasonable Under The "Prudent Man" Standard," June 25, 2010
- Associated Press, August 2, 2016