Complex Commercial Disputes
Involved in numerous complex commercial disputes of all varieties. Representative areas include breach of contracts, partnership disputes, valuation proceedings, trusts and estates, technical manufacturing requirements include:
- Represented an industry association at trial in a corporate valuation proceeding
- Lead trial lawyer in a well-publicized case in the New York Surrogate’s Court involving the Andy Warhol Estate.
- Lead counsel in a jury trial in the U.S. District Court for the Eastern District of New York for a private company against the Board of Education of the City of New York in a breach of contract/federal civil rights action
- Lead trial counsel in a six-week jury trial in Hawaii’s federal court involving a major beverage company in a breach of contract action.
- Conducted an arbitration for a foreign government in a dispute with a contractor involving technical aerospace issues.
White Collar Criminal Defense
Numerous representations of individuals and entities in many different regulatory and criminal investigations, as well as the conduct of internal investigations, representations of Boards of Directors or Special Committees. Representative areas include investigations by the SEC, DOJ, CFTC, as well as internal investigations. The subject matter areas include financial reporting, securities laws, alleged fraud, Foreign Corrupt Practices Act, alleged violations of company policies and procedures.
- Represented a Special Committee of the Board of Directors of a Public Company in response to an SEC investigation;
- Represented the CFO of a major financial institution in an SEC investigation;
- Represented former senior officers of a major financial institution in a joint SEC and DOJ investigation;
- Represented affiliate/subsidiary of international US corporation in active FCPA investigation relating to alleged bribery;
- Represented employees or former employees of two major investment banks and other public companies in a variety of ongoing SEC investigations;
- Represented senior officers of an international financial institution in investigations conducted by CFTC, FSA, DOJ.
Securities Law Disputes
Class actions, proxy contests, and other securities law disputes in courts throughout the United States. Representative areas include representation of entities, directors, officers and employees in many different industries.
- Counsel for individual officers in securities class actions in Federal Court in New York
- Counsel for Public Companies in defense of securities class actions in Federal Court in Omaha, Birmingham, and New York.
- Counsel for outside directors of Public Company in connection with various class action litigations arising from restatement of financial statements.
- Represented former senior officers of a major financial institution in securities class action litigation in Federal Court in New York.
- Trial attorney in several proxy contests in California, New York, and Omaha.
Professional Responsibility/Ethics
Provided advice and counsel to lawyers in connection with Professional Responsibility and Ethics matters. Representative areas include disciplinary committee investigations, alleged claims of discrimination, risk management and reporting requirements.
- Represented a major law firm in connection with a disciplinary committee investigation and disputes with a former partner;
- Represented a major law firm in connection with alleged claims of discrimination;
- Advice and counsel to law firms concerning matters of professional responsibility and ethics;
- Representation of individual lawyers in connection with Disciplinary Committee matters.
Financial and Accounting Disputes
Involved in numerous disputes touching upon the financial and accounting industries, or in matters which have involved issues that affect financial institutions, including accounting principles under GAAP and GAAS. Representative areas also include Section 102(e) issues before the SEC concerning the accounting profession.
- Represented a hedge fund in an evidentiary hearing in federal court in Puerto Rico concerning the fiscal crisis in the Commonwealth under PROMESA
- Represented accounting firm in various litigations pending in New York State Supreme Court.
- Represented a former senior officer of an international financial institution in a DOJ and UK investigation.
- Representations in Section 102(e) proceedings before the SEC concerning the accounting profession.
Copyright and Trademark Disputes
Involved in disputes concerning intellectual property rights, and the co-author of a chapter on Trademark and Copyright litigation in a well regarded federal practice treatise.
- Representation of company in major Lanham Act litigation in Federal Court in New York
- Lead counsel in two significant trademark infringement cases, one in New York and one in California; and
- Representation of company in trade secret litigation
- Lead trial attorney in several proxy contests in California, New York, and Omaha, Nebraska
Internal Investigaitons and Special Committee Representations
Retained to provide advice and counsel to Boards of Directors or Special Committees on specific matters, including to conduct internal investigations. Representative areas include financial statement issues, violations of corporate policy, alleged violations of securities laws, alleged misconduct by officers or employees.
- Represented a Special Committee of the Board of Directors of a Public Company. in response to an SEC investigation;
- Successful resolution of the governmental investigations and securities class action involving a Public Company;
- Conducted internal investigation for Board of Directors Public Company in connection with significant restatement of financial statements;
- Representation of financial institution to conduct investigaiton into allegations of possible misconduct by officers;
- Representation of not-for-profit entity in connection with investigation of alleged improper conduct by employees