New York Phone +1.212.309.6640 Fax +1.212.309.6001
101 Park Ave.//New York, NY 10178-0060//United States
Susan F. DiCicco litigates securities and complex commercial cases, principally representing financial institutions and investment funds in cases throughout the country. She focuses on complex financial transactions, fixed-income products (particularly structured finance transactions), and derivatives. Susan regularly assists clients with trading issues and disputes, as well as assessing and managing risks on new complex products and formulating strategies for new and existing transactions. Clients recognize Susan as a practical litigator who is fully versed in their businesses. Susan serves as the practice leader for the firmwide commercial litigation practice.
In the securities defense field, Susan litigates securities class actions and a variety of cases asserting fraud claims under the 1933 Act, the 1934 Act, and state blue-sky statutes. She currently represents a mutual fund issuer and its officers in securities litigation brought in state and federal court. Susan recently defended the CEO and CFO of a Canadian cannabis company in a putative securities class action asserting claims under the 1934 Act filed in the District of New Jersey. She also successfully represented Sprouts Farmers Market in an Arizona state court securities litigation alleging solely 1933 Act claims, and she has represented the underwriters in a putative class action arising from the Fairway Markets IPO (SDNY). She also represents clients in cases involving commercial and residential mortgage-backed securities, asset-backed securities, structured products, CDOs, CLOs, distressed debt trades, repos, whole loans, loan participations, and a variety of swaps and options.
In the complex commercial arena, Susan handles a wide variety of litigation for institutional parties, including real estate disputes, banking litigation, lender liability litigation, bankruptcy litigation, and secured lending disputes.
Susan also conducts internal investigations and reviews. She represents broker-dealers and other clients in connection with investigations by the US Securities and Exchange Commission.
Ranked, Litigation: Securities, New York, Chambers USA (2006–2011, 2021, 2022)
Recommended, Dispute Resolution: Financial services: litigation, The Legal 500 US (2021, 2022)
Recommended, Dispute Resolution: M&A litigation: defense, The Legal 500 US (2020, 2021)
Recommended, Dispute Resolution: General Commercial Disputes, The Legal 500 US (2016, 2018–2020)
Recommended, Securities Shareholder Litigation, The Legal 500 US (2014–2016)
Recommended, Dispute Resolution: Securities Litigation (Defense), The Legal 500 US (2016)
Recommended, Financial Services Litigation, The Legal 500 US (2012)
Recognized, Securities Litigation, New York Metro Super Lawyers (2013–2018)
Member, Law Firm of the Year, Securities Regulation, US News/Best Lawyers – Best Law Firms (2019)
Member, Legal and Compliance Division, Securities Industry and Financial Markets Association
Co-Chair, Professional Services Liaison Committee, Financial Women’s Association of New York (term ending 2019)
Editor, Boston University Law Review (1991, 1992)