Kay Uswatte is a litigator experienced in matters involving commercial disputes, where she has represented individuals, companies, and their owners, managements, and boards in seeking redress for such issues as contract enforcement and fraud. Her experience extends to partnership disputes and derivative actions. She practices in federal and state courts.
In addition, Ms. Uswatte’s commercial litigation experience includes such securities law matters as the representation of customers and employees of broker-dealers and financial advisors in FINRA arbitrations concerning such claims as Rule 10b-5 fraud, suitability, wrongfully withheld compensation, and defamation related to Form U-5. On the other side of the fence, Ms. Uswatte has defended financial services companies in actions brought by the NY Attorney General, the SEC, and in CFTC investigations. Ms. Uswatte started her career as an Enforcement Attorney with the SEC.
Ms. Uswatte has achieved victories where she has obtained full restitution for her clients, exemplary or punitive damages, and the shifting of forum fees to adversaries in arbitrations. She prides herself in listening carefully to clients to grasp the nuances of their situations and in being dogged about achieving results.
• Brooklyn Law School, J.D.
• Swarthmore College, B.A.
• U.S. District Court for the Eastern District of New York
• U.S. District Court for the District of New Jersey