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Frank, Joseph
Direct Tel: +1 786 850 3400
Tel: +1 (305) 402-4880 Fax: +1 (305) 901-2975

Joseph J. Frank a securities, M&A and enforcement lawyer, was recognized in December 2017 by The American Lawyer for his accomplishments as one of the nation’s leading attorneys. Mr. Frank has been at the center of a number of the most hotly contested disputes of recent years. In Chambers USA, clients describe Mr. Frank as a “brilliant orator,” a “strong strategic thinker” and a lead counsel with a “very reasoned, calm and persuasive approach.” “Incredible in the courtroom -- Joe makes a difficult case winnable.”

Mr. Frank routinely represents public companies, private equity firms, and investment banks across a range of disputes and M&A/divestiture transactions. Among other clients, Mr. Frank has represented Apollo, Barclays, Bank of America Merrill Lynch, The Carlyle Group, Caesar’s Entertainment, Citi, Credit Suisse, General Electric, Goldman Sachs, Morgan Stanley, Nomura and UBS. Mr. Frank’s practice includes pro bono work representing capital defendants, advocacy groups for the homeless, and providing advice to Mother Teresa’s order of religious sisters. Mr. Frank also is a director of several companies as well as a trustee and board member of The Trinity School in New York City.

In addition to securities, antitrust and M&A litigation, Mr. Frank routinely represents clients in connection with anti-bribery, sanctions, and anti-money laundering investigations as well as criminal and regulatory matters. Mr. Frank also provides transactional and regulatory advice to boards of directors and senior management on issues arising from mergers and acquisitions, internal investigations, antitrust and general commercial disputes. His practice has included civil, criminal and regulatory proceedings across a wide range of industries.

Mr. Frank has tried cases to jury verdict in both federal and state court, has litigated matters before the federal panel on multi-district litigation, and has represented parties in arbitration before the ICC, LCIA, ICSID, AAA, NYSE and NASD. Mr. Frank also has broad appellate experience, including representing clients before the Supreme Court of the United States.

Lead counsel for a public company in a multibillion dollar sell side M&A transaction.

Lead counsel for Nomura Securities in its groundbreaking December 13, 2017 victory before New York’s highest court. In a 5-2 decision, the New York Court of Appeals reversed the intermediate appellate court and ruled for Nomura on all issues, thereby extinguishing hundreds of millions of dollars in claims against Nomura and by extension billions of dollars in similar claims all across the financial industry. On December 14, 2017, Mr. Frank was named national Litigator of the Week for this important victory.

Lead counsel for one of the principal defendants in re Sabine Oil & Gas Litigation, a major recent test case for claims against private equity firms and financial institutions. On March 24, 2016, after a 15-day trial, Mr. Frank won a complete verdict defeating over $2.5 billion in proposed claims.

Lead counsel for Barclays Capital and Barclays Bank PLC in the FHLBS securities litigation. On February 14, 2016, after several years of litigation, Mr. Frank won summary judgment for Barclays, extinguishing $422 million in claims. This important victory is one of only a handful of times across hundreds of cases that a Wall Street bank has won summary judgment in litigation arising out of the Financial Crisis.

Lead counsel for Nomura Securities in the ISDAfix antitrust litigation before the SDNY. In addition to ISDAfix, Mr. Frank successfully represented another large multinational corporation in litigation and investigations over alleged price fixing of commodities traded on the LME.

Lead counsel for Barclays Capital and Barclays Bank PLC in various securities litigations across the country, including with Cambridge Place Investment Management, Inc., the Federal Home Loan Bank of Seattle, Mass Mutual, the Federal Home Loan Bank of Chicago, Prudential Insurance Company of America and the Federal Home Loan Bank of Boston.

Lead counsel for a former senior officer of a major financial institution in a regulatory investigation.

Lead counsel for a major investment bank in a cross-border dispute arising out of India.

Lead counsel for Nomura Holdings in more than ten securities and repurchase litigations in state and federal courts.

Lead counsel for a large investment bank in a $259 million mortgage-backed securities case. In May of 2013, Mr. Frank obtained complete dismissal with prejudice of all claims based on an issue of first impression in the New York courts.

In 2014 and 2013, Mr. Frank was lead counsel for a major financial institution before the U.S.

Securities and Exchange Commission.

In 2014 and 2013, Mr. Frank was lead counsel for a large CDO manager in federal securities litigation before the SDNY. In March of 2013, Mr. Frank obtained complete dismissal with prejudice of all claims.

In 2012 and 2011, Mr. Frank was lead trial counsel for Barclays Capital in its divestiture litigation over Archstone Holdings, Inc., a $22 billion real estate investment trust. After a 2012 expedited trial before the SDNY, the court found for Barclays on all issues, allowing Barclays and Bank of America Merrill Lynch to dispose of several billion dollars in disputed assets.

In 2010, Mr. Frank obtained dismissal with prejudice of two separate $600 million securities class actions brought against a major investment bank. Mr. Frank also was lead counsel on appeal to the Second Circuit in those actions and obtained affirmance of the judgments below.

In 2009 and 2008, Mr. Frank was lead trial counsel for UBS AG in complex litigation over a multibillion dollar failed merger.

In 2009 and 2008, Mr. Frank was lead counsel for a large financial institution in connection with the Clear Channel merger litigation and counsel for Harrah's Entertainment, Inc. in M&A litigation relating to its acquisition by Apollo and Texas Pacific Group. Later that year, Mr. Frank subsequently represented Apollo in Delaware litigation over an unrelated debt buyback.

  • University of Illinois College of Law
    (J.D., cum laude, 1993)
    • University of Illinois Law Review
  • Catholic University of America
    (M.A./PhL., 1988)
    (B.A., summa cum laude, 1987)
  • The State Bar of Illinois
  • The State Bar of New York
  • The State Bar of Florida
  • United States Supreme Court
  • United States Court of Appeals:
    • Second Circuit
    • Seventh Circuit
    • Eleventh Circuit
  • United States District Court:
    • Southern District of New York
    • Eastern District of New York
    • Northern District of Illinois
    • Central District of Illinois
    • Southern District of Florida

  • French
  • Spanish
  • SS&C Technologies:
    • Global Head of M&A
    • Chief Legal Officer
  • Shearman & Sterling LLP:
    • Partner, Global Head of Securities Litigation and Enforcement