Steve Sherman represents corporations in large scale business and regulatory disputes and defends individuals and corporations in the financial services industry in criminal cases and proceedings in federal and state court, the Securities and Exchange Commission, state regulatory agencies, and FINRA.
His commercial litigation experience includes representing a Japanese manufacturer in a nationwide antitrust class action; representing clients in professional liability cases; representing an agricultural manufacturer in large-scale trade secrets litigation; and representing national telecommunications companies in construction disputes.
Steve also represents clients in securities litigation. These have included the representation of Charter Communications, Inc. in a two-year accounting fraud investigation brought by the U.S. Department of Justice and the SEC. He frequently represents financial advisors in securities investigations brought by the SEC and state regulatory agencies. He also has tried broker-dealer disputes before FINRA.
He also has extensive experience conducting internal investigations. In one of these matters he worked with CPA firm Grant Thornton on behalf of the public service commissions of North Carolina and South Carolina to investigate accounting fraud allegations against Duke Energy. That inquiry resulted in Duke paying a $25 million fine to regulators. Steve also frequently counsels businesses in compliance matters, including the creation and monitoring of corporate compliance programs.