Successful settlement in connection with representation of a financial industry corporation in contract dispute involving a novel area of arbitration law, attaining rejection of a magistrate judge's recommended ruling by the Southern District of New York, reversed on appeal by the Second Circuit.
Successfully defended one of the nation's largest convertible securities and arbitrage trading firms in an arbitration compelled by the United States Court of Appeals for the Second Circuit. Claims included violations of the NASD Rules of Fair Practice, vexatious litigation, fraud on the United States Copyright Office, tortious interference with business, unfair competition under the Trademark Act of 1946, common law unfair competition, statutory unfair trade practices, misappropriation of business assets and trade secrets, copyright and trademark infringement, raiding, and various additional statutory claims. The parties' aggregate damage claims exceeded $70 million. Actively participated in all 180 arbitration sessions. Obtained Appellate Court of Connecticut ruling that there is no jurisdiction over custodian of retirement investment accounts without any other substantial interaction with Connecticut residents.
Representing a real estate exchange company and its founder in a billion dollar claim against a top five investment bank and an AmLaw Top 30 law firm arising from alleged perjury and evidence concealment that led to two federal criminal convictions of the founder.
Successfully argued appeal of Banking Commissioner's Decision denying clients' rights to purchase hundreds of thousands of new bank shares.
Represent large national retail bank in over 100 cases.
Represent one of the world’s largest pharmaceutical companies in National litigation involving its historical products.
Successfully represented regional bank in $75 million dollar asset based lending dispute with syndicate.
Represent one of the largest insurance companies in the world in connection with a dispute over its stock option plan.
Represented leading national mortgage lender in $100 million civil penalties case brought by Connecticut Attorney General.
Regularly represent investors and depositors in bank conversion litigation.
Represented third party service providers in National Class actions involving the valuation of residential mortgage securities.
Represented large custodial bank in connection with $4.6 billion matter brought by the SEC presently pending in the Southern District of New York. Claims involve right to indemnification in connection with liquidation of $40 billion money market fund.
Represented multi-billion dollar venture fund in connection with claims of breach of fiduciary duty and oppression of minority shareholder rights in New York Supreme Court. Claims centered upon a second round investment in a well-known Internet company.
Represented leading broker of credit derivative swaps in connection with FINRA investigation into purported collusive action in the setting of pricing by CDS brokerage industry. Representation received substantial press. Successfully defended against multiple rounds of dispositive motions seeking the dismissal of a complaint filed in California state court against certain former officers and directors of a publicly traded company, as well as prevailed in motion practice seeking the dismissal of certain of defendants' counter-claims. The defendants in this action were represented by a prominent national firm, and were alleged to have, among other things, breached their duties owed to the company, and committed corporate waste, during their time as directors and/or officers. Subsequent to prevailing at the dispositive motion stage of the litigation, a favorable settlement was obtained on behalf of the client corporation.
Represent broker dealer in connection with FINRA and State Court cases involving residential mortgage backed securities.