Financial Services & Securities Litigation

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  • Defended a subsidiary of national insurance company against third party and class action claims alleging its participation in securities and common law fraud perpetrated by primary defendant, for which client had brokered insurance
  • Defended several issuer-defendants in related secruities actions concerning the structuring of their respective IPO's. In re Initial Public Offering Securities Litigation
  • Obtained summary judgment in multiple defendant mortgage fraud case alleging RICO and other claims
  • Defended an issuer of securities against claims by its underwriter arising out of its IPO and an underlying securities class action.
  • Successfully defended a private securities SEC Rule 10b-5 action for manipulation Case set new standard for award of attorneys fees to a prevailing defendant
  • Representation of issuer in claims against underwriter arising out of a failed IPO
  • Successfully defended a private securities SEC Rule 10b-5 action for manipulation. Case set new standard for award of attorneys fees to a prevailing defendant
  • Successfuly defended a major U.S. securities firm in a proceeding before an NASD arbitration panel; claimant sought damages based on fraud claims in connection with futures trading on the Chicago Mercantile Exchange
  • Obtained a declination of prosecution for an accounting officer of an international automotive supplier after investigation by the DOJ and the SEC
  • Representation of global investment bank as creditor in significant bankruptcy proceeding arising out of 1994 collapse of derivatives market
  • Represented plaintiff in breach of contract and breach of fiduciary duties action stemming from collapse of global financial services firm in U.S. District Court, S.D.N.Y.
  • Routinely represent individuals and companies subject to SEC subpoenas and investigations concerning alleged violations of securities law with respect to a wide variety of financial transactions
  • Successful representation of several significant foreign investor groups against global bank selling equity derivatives and swap products
  • Representation of different U.S. and foreign banks in three separate disputes arising out of collapse of mortgage-backed securities market
  • Represent a structured products hedge fund in claims against a global European bank and its US broker-dealer affiliate arising out of the bank’s refusal to complete and underwrite a contracted $1 billion ABS CDO^2.
  • Successful representation of significant purchaser of complex equity derivatives product in claims against a major global investment bank
  • Representation of U.S. branch of foreign global bank in dispute arising out of the collapse of The Reserve Fund after it "broke the buck" in Net Asset Value
  • Successfully defended UCC rights of a Bank
  • Secured dismissal of all claims asserted against electronic trading platform of major U.S. bank in federal court litigation arising out of arbitrage of ADRs and underlying securities sold on foreign stock exchange
  • Defended prominent hedge funds in 18 related federal and state litigations, as well as NASD and AAA arbitrations, arising out of criminal conduct of the clients' portfolio manager that resulted in the liquidation of the funds.
  • Representation of prominent hedge funds in 18 related federal and state court class action and individual litigations, as well as NASD and AAA arbitrations, arising out of criminal conduct of rogue portfolio manager; resulted in the liquidation of funds
  • Representation of numerous hedge funds in diverse litigation and arbitration matters including partnership disputes, securities fraud, employment matters, breach of contract actions and innvestor litigation
  • Representation of significant hedge fund in $200 million dispute with global bank arising out of failed $1 billion mortgage-backed CDO^2 transaction