KAY
USWATTE

Kay Uswatte is a litigator experienced in matters involving commercial disputes, where she has represented individuals, companies and their owners, management, and boards in seeking redress for such issues as contract enforcement and fraud.  In commercial disputes involving foreign individuals and holding companies as defendants, she has used her knowledge of the intricacies of civil procedure to defeat such non-domiciliaries' resistance to being sued. Her experience extends to partnership disputes and derivative actions. She practices in both state and federal court.

 

Ms. Uswatte’s commercial litigation experience also includes securities law matters, such as the representation of retail customers and employees of broker-dealers in FINRA arbitrations concerning such claims as Rule 10b-5 fraud, suitability, wrongfully withheld compensation, and defamation related to Form U-5.  Ms. Uswatte has represented the other side of the industry by defending financial services companies in actions brought by the NY Attorney General, the SEC, and in CFTC investigations. She started her career as an Enforcement Attorney with the U.S. Securities and Exchange Commission.

 

Ms. Uswatte has achieved victories where she has obtained full restitution for her clients, punitive damages, and the shifting of forum fees to adversaries in arbitrations. She prides herself in attentively listening to her clients to grasp the nuances of their situations and in being tenacious about achieving favorable results.

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