Tracey Salmon-Smith assists clients in commercial disputes, employment litigation, securities law, and internal investigations. In the securities space, she represents broker-dealers before the Financial Industry Regulatory Authority (FINRA) in arbitrations and mediations related to allegations of fraud, misrepresentation and unsuitability. She also handles expungement proceedings. As an employment litigator, Tracey has defended corporate clients against claims related to age, race and gender discrimination, workplace sexual harassment, whistleblowers, and wrongful discharge. Tracey also advises clients on e-discovery and information management issues.
Tracey’s past experience includes private law firm practice, in-house general counsel work for a major financial services company, and seven years as an Assistant United States Attorney for the Eastern District of New York. During her time as an assistant U.S. attorney, Tracey served as both the Acting Chief of Environmental Litigation and the Chief of Bankruptcy.
- Successfully represented a financial services firm in an arbitration matter involving claims of unsuitability, failure to supervise, breach of fiduciary duty and fraud related to investments in IPO purchases of closed-end funds, preferred stock and reverse convertible notes. Obtained expungement for financial adviser and branch manager.
- Represented a financial institution in a pregnancy discrimination matter in the Southern District of New York.
- Represented a major retailer in an FLSA collective action in the Eastern District of New York.
- Obtained summary judgement for a mass media corporation in an age and disability discrimination lawsuit in the Southern District of New York.
- Successfully represented a gaming company in a gender discrimination suit. The matter was favorably settled after a jury trial in the Southern District of New York.
- Successfully obtained expungement of arbitration matter from the CRDs of all four members of a broker team in a matter involving allegations of unsuitable recommendations.
- Defended a financial securities firm in arbitration matters involving structured products.
- Successfully defended a broker/dealer in a FINRA arbitration in which the claimant alleged unsuitability and failure to follow instruction, and subsequently obtained expungement for both respondent financial advisors.
- Successfully defended a broker-dealer in a FINRA arbitration where claimant alleged unsuitable recommendation for variable annuity and improper switching of mutual funds.
- Successfully represented financial services firm in regulatory investigations.
Dartmouth Alumni Award, Dartmouth College (2014)
Dartmouth Young Alumni Award, Dartmouth College (2002)
Fellow, American Bar Foundation
“Top 40 Under 40,” The Network Journal (2003)
Awards Methodology (www.drinkerbiddle.com/content/awards)
- District of Columbia
- New Jersey
- New York
- Villanova University School of Law, J.D., 1990
- Dartmouth College, A.B., 1987
- U.S. Supreme Court
- U.S. Court of Appeals, Second Circuit
- U.S. Court of Appeals, Sixth Circuit
- U.S. District Court, District of Connecticut
- U.S. District Court, District of New Jersey
- U.S. District Court, Eastern District of New York
- U.S. District Court, Southern District of New York
- American Bar Association, Section of Litigation Federal Practice Task Force
- American Bar Association, Board of Governors Subcommittee on Investments
- Association of the Bar of the City of New York, In-House/Outside Counsel Litigation Group
- Association of Black Women Attorneys
- Corporate Counsel Women of Color
- Dartmouth College Alumni Association
- Dartmouth Lawyers Association
- Federal Bar Council
- Metropolitan Black Bar Association
- National Bar Association, Deputy Director for Region II
- National Employment Law Council
- New York State Bar Association
- Securities Industry and Financial Markets Association, Compliance and Legal Society – Diversity and Inclusion Subcommittee
- Society for Human Resource Management
- Villanova Law Alumni Association