Alternative Dispute Resolution
Mediation and Arbitration
Independent Consultant to the New York Stock Exchange
Served as the SEC-approved Independent Consultant to the New York Stock Exchange and two related exchanges in connection with an SEC enforcement action.
Market Misconduct Tribunal
Represented a portfolio manager for a major investment management firm in a three week insider trading trial before the Market Misconduct Tribunal in Hong Kong.
Represented a major investment management firm in a FINRA investigation into mismarking by a former trader.
Represented a leading futures commission merchant in a Chicago Mercantile Exchange investigation focused on whether traders ran ahead of clients' block trades.
Alleged Losses in Auction Rate Securities
Represented a major broker-dealer in defending a claim of manipulation by a purchaser of $273 million of structured auction rate securities.
Represented the head of Investor Relations for a major corporation in an SEC investigation relating to Regulation FD (disclosure of information to analysts).
- Represented a major private equity firm in litigation over the acquisition of a bank.
- Represented a major charitable organization in a dispute with another major charitable organization over the terms of a bequest in a will. Ultimately resolved after a mediation.
- Represented officers of a corporation in an SEC investigation over insider trading in connection with a corporate acquisition.
- Represented a technology company in connection with the criminal prosecution of a trader charged with "spoofing" in the commodity futures markets.
- Represented a major broker-dealer in multiple investigations by state and federal regulatory agencies and law enforcement in connection with certain municipal bond transactions.
- Represented a major broker-dealer in investigations on three continents and litigation over trading in the copper futures markets.
- Represented a major-broker dealer in investigations by multiple state and federal regulatory agencies, Congress and the Department of Justice and in litigation involving the collapse of Enron.
- Represented a major-broker dealer in investigations by multiple state and federal regulatory agencies and litigation in connection with activities of research analysts and market timing.
- Represented a major broker-dealer in investigations by multiple state and federal agencies and litigation in connection with the sale of auction rate securities.
- Represented a major commodity market in multiple litigations arising out of the attempt by certain traders to corner the world's supply of silver.
- Represented a major university in a gender discrimination and breach of contract lawsuit.
- Represented commodities traders in commodity tax fraud criminal trials.
- Represented major broker-dealers in numerous arbitrations over disputes with customers.
- Represented a major broker-dealer in an employee "raiding" arbitration.
- Represented a partner in an arbitration over the split of a partnership.
Acted as an expert witness in a dispute over the reasonableness of legal fees.
Conducted an independent internal investigation for a major broker-dealer into sales of closed end funds.