Sarah E. Aberg

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.

Representative Experience 

• 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.