The firm is frequently called upon to arbitrate and/or mediate cases, in a variety of forums.
Notable Cases:
Defended a broker-dealer in an NASD proceeding against a $500,000 breach of fiduciary duty claim, and obtained a complete dismissal after an evidentiary hearing.
Prosecuted a claim for unsuitable trading before the NASD against a major broker-dealer and procured a favorable settlement.
Represented one member of a limited liability partnership against another member in a $60 million, 15-day AAA arbitration concerning allegations of breach of fiduciary duty.
Successfully mediated $2 million product liability claim in federal court.
Defended former New York State judges against charges of failure to supervise in their capacity as directors of a broker-dealer in an NASD proceeding.
Prosecuted a breach of contract claim on behalf of a Japanese manufacturer before the AAA.
Represented one broker-dealer against another in a FINRA arbitration concerning clearing disputes.
Prosecuted fraud claims against an attorney at a major law firm in AAA arbitration and recovered 100% of the loss, secured by a confession of judgment.
Mediated a multi-million dollar copyright infringement claim in federal court.