Representative Cases

The partners with local counsel in Miami, Florida.

We currently represent the former owner and President of a brokerage firm in a New York state court proceeding where the plaintiff seeks monetary damages for losses allegedly suffered as a result of our client's investment advice.

We currently represent a publicly-traded company, its CEO and one of its consultants in a high profile trial brought by the SEC concerning the methods used in connection with that company's stock promotion and registration.

We currently represent an individual involved in a federal criminal prosecution involving allegations of securities fraud and wire fraud.

We currently represent a number of brokerage firms in FINRA arbitrations involving allegations of suitability, unauthorized trading and churning.

We currently represent a publicly held motion picture production company and two of its primary investors in a litigation pending in Los Angeles, California.

We currently represent a publicly held clothing design company in a lawsuit brought by its former sales representative and showroom.

We successfully represented a private jet company in a jury trial in Miami, Florida, resulting in a jury verdict of no liability for our client.

We successfully represented an extremely high profile musician/entertainer in a federal class action lawsuit resulting in the plaintiffs being forced to dismiss their case.

We successfully represented a closely-held company involved in a dispute over whether another company can, without consent, hold a series of online auctions of our client's services.

We successfully represented a brokerage firm by obtaining a complete pre-hearing dismissal of all claims in a FINRA (formerly NASD) arbitration proceeding brought by a former employee of the firm alleging wrongful termination, Form U-5 libel and slander.

We successfully represented a financial consultant in connection with an arbitration proceeding pending before the New York Stock Exchange, involving suitability of certain mutual funds and allegations of other breaches of fiduciary duty.

We successfully represented a brokerage firm in connection with an ongoing FINRA regulatory investigation into its back-office operations and sales practices, which concluded with the issuance of a "no action" letter after a series of more than twenty (20) days of on-the-record interviews.

We successfully defended both owners of a brokerage firm in an FINRA arbitration proceeding, convincing the arbitration panel to dismiss one of the owners after only submitting a motion to dismiss, and then eventually trying the case before the entire panel to obtain the dismissal of all claims asserted.

We successfully negotiated a very favorable settlement of an arbitration proceeding with a realistic exposure of $3.2 million, reaching an agreement in which the three individuals involved would each pay a total of approximately $58,000 over a three-year period.