Securities Litigation

• Represented bio-technology company and its directors in arbitration of claims arising out of corporate acquisition and alleged breaches of representations, and warranties in merger agreement.
• Represented digital media company and its independent directors in connection with breach of fiduciary duty claims arising out of going-private transaction.
• Represented public companies and board members in connection with class action and derivative lawsuits involving securities fraud allegations, breach of fiduciary duty claims, and other securities law violations in connection with public disclosures, mergers and acquisitions, and insider transactions.
• Represented special committee investigating breach of duty claims arising out of alleged firewall backdoor in software and successfully resolving matter to avoid litigation.
• Represented HMO in connection with claims for breach of corporate acquisition agreement arising from alleged material adverse change.
• Represented Trustee in Bankruptcy pursuing litigation claims on behalf of the estate in connection with publicly traded corporation that was the subject of fraud scheme.
• Represented private equity real estate fund in connection with claims for breach of fiduciary duty and conversion arising out of alleged self-dealing transactions.
• Represented healthcare hedge fund in connection with breach of stock purchase agreement and violations of various securities laws.
• Represented top-four broker dealer in international investigation of brokerage practices.
• Successfully defended, in week-long arbitration hearing before NYSE, a top-four broker dealer and investment manager against claims based on accusation that investment manager rendered unsuitable investment advice.
• Represented top-four broker dealer in connection with pension fund’s ERISA claims related to best price/best execution, violations of fund’s investment policies, and prohibited transactions.
• Successfully defended in NASD arbitration hearing top-four broker dealer and financial advisor from claims asserting negligent investment and tax advice received in connection with the exercise and disposition of employee incentive stock options, recommendations of various stock investments, and use of margin.
• Successfully litigated through appeal for PIPE investor the case that established federal appellate authority protecting convertible securities investors from short-swing liability under the federal securities laws. Levy v. Southbrook Int’l Investments, Ltd.
• Represented numerous PIPEs in cases involving alleged market manipulation, failure to convert, breach of contract and fraud.
• Represented hedge funds in connection with investment mismanagement claims and member departures and dissolutions.

Business Litigation

• Successfully defended major developer in trial, obtaining dismissal of a $15 million lost profit claim and a forfeiture claim and in obtaining a counterclaim judgment in excess of $6 million, in a development dispute involving the construction of a hotel, garage and retail space in Manhattan.
• Successfully resolved claims against international newspaper relating to alleged defamation on papers website.
• Represented major bank in class action asserting claims arising out of private mortgage insurance for residential mortgages serviced by client.
• Successfully litigated the case against the New York Islanders’ hockey team that prevented the team from vacating the Nassau Coliseum.
• Successfully defended joint owner of closely held corporation in connection with fraud, breach of contract and theft of corporate opportunities claims against other joint owner.
• Successfully defended in hearing before AAA national hotel operator against breach of contract claims arising from closing of airplane hangar operation that followed corporate acquisition.