Nader S. Raja

Nader has substantial experience representing clients in parallel civil, criminal, and regulatory matters involving the DOJ, SEC, CFTC, FINRA, global trading exchanges, and state enforcement authorities.  He has secured favorable outcomes in investigations carrying substantial follow-on litigation risk.  Nader’s matters include securing a declination in a DOJ Fraud Section investigation into alleged commodities and securities fraud and manipulation; defending financial institutions in CFTC and FINRA investigations concerning trading practices, off‑channel communications, and regulatory reporting obligations; and representing clients in sanctions‑related matters arising from DOJ priorities. On the strength of his track record and proven mitigation strategies, he is regularly called upon to manage investigations that present significant follow‑on litigation risk and cross‑border exposure.

In litigation, Nader represents clients in complex commercial disputes in federal and state courts across the country, as well as in domestic and international arbitration. His experience spans securities and corporate governance litigation, shareholder and class actions, consumer lending and credit, and other sophisticated commercial litigation. He is regularly entrusted with matters involving significant exposure, contested transactions, and core business practices, and has a strong track record of positioning clients for favorable outcomes through disciplined motion practice and strategic case management. 

Representative Experience

White Collar & Regulatory Enforcement

• Obtained a declination for a financial services client in a DOJ Fraud Section criminal investigation involving alleged securities and commodities fraud and market manipulation
• Represented individuals and financial institutions in investigations by national trading exchanges concerning alleged spoofing, wash trades, and other prohibited trading practices
• Defended a full-service broker-dealer in a FINRA investigation alleging spoofing in S. Treasury markets
• Represented a swap dealer in a CFTC investigation and settlement related to “off channel” business communications during the agency’s initial industry sweep
• Represented domestic and international swap dealers in a CFTC investigation concerning swap data reporting under the Commodity Exchange Act and CFTC regulations
• Represented a swap dealer in a CFTC sweep focused on sales and trading practices in connection with interest rate swap transactions related to bond issuances, including potential price manipulation and insider trading
• Represented an international financial institution in connection with the DOJ’s Task Force KleptoCapture for enforcement of sanctions on Russian oligarchs in response to the Russian invasion of Ukraine
• Represented a CEO and broker-dealer in a FINRA investigation into supervision of private placement offerings
• Represented a major U.S. financial institution in the investigation by and settlement with the DOJ and CFTC of market manipulation in the precious metals market
• Represented a national bank in a multi-year investigation by the CFTC and a state attorney’s office regarding alleged manipulation of the S. Dollar International Swaps and Derivatives Association Fix (USD ISDAFIX), a then-leading global benchmark for interest rate swap transactions
• Represented a global financial institution in a DOJ investigation and a parallel state investigation into price-fixing in fixed income markets

Civil Litigation and Arbitration

• Won the dismissal of a follow-on putative class action alleging price manipulation and manipulative device claims based on a prior regulatory settlement
• Defended a leading industrial equipment supplier in shareholder litigation challenging a controller‑related transaction
• Represent a lessor in an international arbitration administered by the International Chamber of Commerce
• Represented an investment advisory firm in North Carolina Business Court litigation involving alleged misuse of confidential information and unfair competition
• Represented a national bank in a putative class action challenging foreign exchange rates applied to customer transactions
• Won the dismissal of all claims against a major bank in a whistleblower suit alleging violations of the False Claims Act related to mortgage lending
• Secured the dismissal of a putative securities class action challenging disclosures in connection with a proposed merger
• Won the dismissal of contract and tort claims brought against a major bank by a Brazilian aircraft operator and its principals arising from a Brazilian tax-advantaged aircraft financing transaction
• Represented a major broker-dealer in a private arbitration brought by a former ultra-high net worth customer seeking more than $100 million in damages based on allegations of unauthorized trading, unsuitable transactions, churning, and excessive mark-ups
• Extensive experience defending lender liability and mortgage servicing claims involving allegations of predatory lending, fraud, wrongful foreclosure, and state and federal consumer protection statutes, including the Truth in Lending Act (TILA), Home Ownership and Equity Protection Act (HOEPA), Fair Debt Collection Practices Act (FDCPA), and Real Estate Settlement Procedures Act (RESPA)

Advice and Counseling

• Provide counsel on remedial measures and compliance undertakings in connection with consent orders by the Office of the Comptroller of the Currency (OCC) and the Board of Governors of the Federal Reserve System (FRB)
• Advised a major financial institution on its compliance remediation and reporting obligations under a non-prosecution agreement with the DOJ’s Fraud Section
• Counseled a major financial institution on the implementation of a conduct risk management program

Notable

• Best Lawyers in America, Commercial Litigation, 2021-2025; Mass Tort Litigation / Class Actions - Defendants, 2023-2025

• Legal 500’s North Carolina Elite, Commercial Disputes, 2026

• Business North Carolina Legal Elite, Young Guns, 2018-2019, 2022-2023
• North Carolina Super Lawyers "Rising Star", General Litigation, 2014-2021; Business Litigation, 2022-2025
• Benchmark Litigation “40 & Under List," 2024-2025
• Law360, Rising Stars for Compliance, 2020
• Sally & Bill Van Allen Public Service Award, 2019
• Member, Mecklenburg County Bar (MCB) Diversity & Inclusion Committee, class of 2024
• North Carolina Pro Bono Honor Society, 2017, 2019-2021
• Co-Chair, MVA Asian Pacific American Lawyers Association (APALA) Business Resource Group
• Member, MVA Recruiting, Inclusion & Belonging, and Pro Bono & Public Service Committees
• Member, UVaClub of Charlotte
• Leadership Charlotte, Class 39

News

Affiliations

• South Asian Bar Association of North America
• Securities Industry and Financial Markets Association
• American Bar Association
• North Carolina Bar Association
• Mecklenburg County Bar
• Charlotte Asian Pacific American Bar Association
• Florida Bar