Trials and Arbitrations

• Obtained, as lead trial lawyer for an Italian clothing manufacturer and its U.S. affiliate, a decision following a trial before a justice of the New York County Supreme Court’s Commercial Division, denying any liability of his client on plaintiff’s cause of action seeking damages of approximately $10 million based on client’s alleged breach of contract, and successfully argued the appeal before the First Department.
• Obtained, as lead counsel on behalf of a hedge fund, a unanimous jury verdict in New York County Supreme Court’s Commercial Division in a $95 million lawsuit brought against the fund concerning termination of a former business associate and whether the associate had the right to receive any profits from their business venture.
• Obtained, as lead counsel on behalf of a U.S. broker dealer subsidiary of a large international bank, in a FINRA arbitration with fifteen hearing sessions, a favorable award on a claim for breach of a consulting agreement seeking damages in excess of $3 million.

Securities Litigation and Enforcement

• Represented a broker-dealer and two of its officers in lawsuits commenced by the SEC, SIPC Trustee, and private investors arising from the Madoff Ponzi scheme. Achieved favorable settlement of SEC action after obtaining dismissal of SEC’s original complaint and resolved Trustee’s claims after seven-year litigation.
• Represented a defendant and two relief defendants in an SEC action and parallel criminal investigation and civil litigation arising from an indictment in the SDNY of Joseph Meli who allegedly engaged in a Ponzi scheme involving the resale of tickets for high-profile entertainment events, including the Broadway show “Hamilton.”
• Obtained, as co-lead counsel, dismissal of a federal securities fraud lawsuit against a Fortune 500 engineering and infrastructure company on appeal to the 5th Circuit from the lower court’s denial of the clients’ motion to dismiss. Also represented clients in related SEC inquiry that was discontinued after over three years with no recommendation of an enforcement action against the company or any of its management.
• Obtained, as co-lead counsel, protective order from Federal Magistrate Judge prohibiting plaintiffs’ counsel from contacting defendant’s employees during investigation of factual basis for alleged securities fraud claims.
• Obtained, as co-lead counsel, favorable resolution of claim for recovery of short-swing profits under Section 16(b) of the 1934 Exchange Act.

Commercial and Business Litigation

• Represented, as lead counsel. a leading developer of low income and affordable housing in an action for breach of a consent agreement and contempt brought by an investor claiming ownership rights and financial interests in various development projects and seeking damages in excess of $40 million that was resolved on favorable terms for the client.
• Represented as lead counsel a leading owner and operator of ATMs in a $100 million contractual dispute with a leading New York-based pharmacy that was resolved on favorable terms for the client.
• Represented as lead counsel a food flavorings company in a $25 million action against one of the world’s largest food companies and a former employee for misappropriation of trade secrets, Lanham Act violations, and related claims that were resolved through a negotiated settlement after extensive discovery and motion practice.
• Obtained as lead counsel dismissal with prejudice of $6.5 million claims for fraud and breach of fiduciary duty alleged by plaintiff against company that acquired plaintiff's former business from a third party and successfully argued and obtained affirmance on appeal to the United States Circuit Court for the Second Circuit
• Argued as lead counsel on appeal and obtained reversal of lower court's denial of motion to dismiss based upon contractual venue/forum selection clauses that obligated the parties to litigate in Mexico any dispute under their agreement for leasing satellite capacity.
• Represented as lead counsel private equity real estate firm in action by seller to terminate a $98 million contract for the acquisition of a portfolio of outlet shopping centers that was resolved on favorable terms for our client following expedited discovery and court-ordered mediation.

Investigations

• Represented audit committee of a leading communications company in an internal investigation pursuant to Section 10A of the Securities Exchange Act of 1934.
• Various national securities brokerage firms, before both courts and arbitral panels in disputes over whether the departing brokers may solicit firm employees.
• Conducted an internal investigation on behalf of a Fortune 500 engineering and infrastructure company into whether an employee’s alleged conduct exposed the company to violations of the Securities Exchange Act of 1934.
• Represented as lead counsel a financial services firm in an SEC investigation of a publicly traded company that supplied equipment to the client, including conducting an internal investigation into the client’s dealings with the vendor.

Accountant's Liability

• Defended a national accounting firm against claims for breach of contract, fraud, negligence, and malpractice, in which plaintiffs sought a multimillion-dollar recovery. Matter was resolved after extensive deposition discovery, and motion practice and mediation.
• Lead counsel representing national accounting firm in arbitration dispute with former audit client seeking damages for professional malpractice and breach of contract.
• Represented as lead counsel a national accounting firm in an arbitration dispute with a former audit client seeking damages for professional malpractice and breach of contract. Matter was resolved on favorable terms for the client.
• Defended national accounting firm against claims for breach of contract, fraud, negligence, and malpractice in which plaintiffs sought a multimillion-dollar recovery. Matter was resolved after extensive deposition discovery, and motion practice and mediation.

Director and Officer Cases

• Represented and currently represent as co-lead counsel numerous officers, directors and individuals in securities investigations by the SEC and FINRA concerning. potential violations of the federal securities laws, including Rule 10b-5 and books and records violations; claims were not filed or were resolved favorably for clients.
• Currently co-lead counsel representing officers and directors of public companies in "clone" shareholder derivative claims.

Intellectual Property Litigation

• Obtained as lead counsel dismissal of complaint for misappropriation of a trade secret and related claims for tortious interference with prospective economic gain and equitable relief.
• Representation of a food flavorings company in a $25 million action against one of the world's largest food companies and a former employee for misappropriation of trade secrets, Lanham Act violations, and related claims.
• Representation as lead counsel of one of the founders of a chain of wine stores in a trademark and trade dress lawsuit.