Emily M. Knight

Introduction

Ms. Knight is an Associate in the Firm’s Business Litigation & Arbitration and Securities Regulatory Practice Groups.

Ms. Knight has extensive experience representing broker-dealers and associated persons in all phases of arbitration proceedings before the Financial Industry Regulatory Authority (“FINRA”). Her practice also includes representing entities in commercial litigation in both state and federal courts, with a focus on disputes within the financial services industry.

Ms. Knight routinely advises and represents clients facing regulatory inquiries and enforcement actions from the U.S. Securities and Exchange Commission (“SEC”), FINRA, and state securities regulators. Additionally, she counsels broker-dealers on regulatory compliance matters, including FINRA Rule 4111.

Ms. Knight’s expertise spans a wide array of issues, including securities fraud, misrepresentation, suitability, breach of contract, and other forms of misconduct alleged in the context of both customer and industry disputes.

Notable decisions

Tompkins vs. Avantax Investment Services, Inc., FINRA Arbitration No. 23-00578 (Award dated Nov. 17, 2023).

Hayes, et al. vs. Aegis Capital Corp., FINRA Arbitration No. 22-02854 (Award dated May 24, 2024).

Publications

Emily Knight, Note, Blockchain Jenga: The Challenges of Blockchain Discovery and Admissibility Under the Federal Rules, 48 HOFSTRA L. REV. (Winter 2019).

J. Scott Colesanti and Emily Knight, Taking Late Hits and Shooting Par: Insider Trading and Two Athletes, N.Y. L. J., Jan. 18. 2019.