Selected Cases

• Obtained multi-million judgment as lead counsel for plaintiffs in a lawsuit alleging breach of warrant agreement and tortious interference with contractual relations.
• Co-lead counsel in a regulatory trial before a NYSE Hearing Panel where respondent was acquitted of 2,099 violations of NYSE rules and Federal securities regulations.
• Participated in the negotiation of cooperation agreements with federal and state prosecutors in a $900 million bank fraud, wire fraud and obstruction of justice case.
• Lead trial and appellate counsel in a successful defense of a NYSE floor broker on charges of market manipulation and violation of just and equitable principles of trade.
• Negotiated a $710,000 settlement on behalf of an employee in an age discrimination suit.
• Successfully represented a global bank’s Chief Country Officer (in an Asian country) in several internal investigations concerning the bank’s activities.
• In an internal investigation for a trans-national enterprise, determined and located the source and cause for the failure of the company’s internal controls, which lead to non-payment of more than $50 million in obligations.
• Settled an $8 million federal class action lawsuit for $87,500 in a matter involving allegations of market manipulation and sale of unregistered securities by a broker-dealer.
• Successfully defended at trial majority shareholders in a lawsuit alleging fraud, breach of contract, breach of fiduciary responsibility and oppression of minority shareholders.
• Successfully defended the president of a broker-dealer in an NASD (now FINRA) investigation for failure to supervise registered representatives who defrauded their clients.
• Conducted a successful 3-week jury trial to collect defaulted personal loans made by a partner at an international investment bank.
• Led a successful defense of Dow Jones Telerate’s attempt to terminate a contract for live, streaming data on the trading of mortgage-backed securities over its system.
• Participated in the negotiation of a $575,000 settlement on a $400,000 out-of-pocket loss in a NYSE arbitration.
• Helped create anti-union strategies that defeated several union certification attempts.
• Drafted a brief to the NLRB that successfully challenged a union’s claim to be the collective bargaining agent for non-professional staff at a well-known college.
• Drafted an appellate brief on behalf of an AIDS patient that resulted in one of the highest awards of damages for public accommodation discrimination in New York State’s history (as of 1992).