SELECTED VICTORIES & SETTLEMENTS

Bonus/Compensation

  • Client v. Hedge Fund (Arbitration Panel Awards $809,786 Bonus Against Connecticut Hedge Fund)(2017)
  • Client v. Barclays Capital (Successful FINRA Arbitration Award for Bonus & Severance)(2015)
  • Client v. Hedge Fund (Successfully negotiated reinstatement of substantial deferred compensation rights)(2014)
  • Client v. Broker-Dealer (Important Settlement of Bonus & Whistleblower Claims) (2014)
  • Client v. Barclays Capital (Successful FINRA Arbitration Award for a Bonus)(2013)
  • Client v. Private Company (Settlement of a claim for an insurance broker’s commission)(2013)

Promissory Notes

Discrimination

  • Client v. Broker-Dealer (Negotiated important settlement on gender discrimination claim)(2015)
  • Client v. Private Company (Negotiated settlement of gender discrimination claim)(2015)
  • Client v. Hedge Fund (Negotiated settlement of gender discrimination claim)(2013)

Securities/Bankruptcy Litigation

  • Representation of Holders of Trust Preferred Securities (TruPS)
  • Acme Holding Company, Inc., 14-bk-71315 (Bankruptcy W.D. Arkansas) (Successful on motion to convert bank holding company case from Chapter 11 to Chapter 7 liquidation)(2015)
  • Premier Bank Holding Co., 12-40550-KKS (Bankruptcy N.D. Fla.)(Helped secure increase in size of estate through court-ordered significant reduction of professional fees)(2015)
  • Johnson Holdings/Landmark Community Bank (MN)(Negotiated terms for auction of bank stock resulting in a substantial recovery for TruPS creditors)(2014)

Arbitration

  • Fulbrook Capital Mgt. LLC at al. v Batson, 2015 WL 321889 [SDNY Jan. 26, 2015](Secured court confirmation of important AAA arbitration award)

Other Representations

  • Legal Advisor to the Documentary “The Lost Trophy,” which aired on ESPNU on May 9, 2015 (http://thelosttrophy.com)
  • Representation of medical doctor in hospital investigation of inter-doctor dispute; client fully exonerated
  • Settled lawsuit resulting in client securing 100% of equity in a start-up tech company

Pro Bono

  • Henriquez v Starwood Hotel Resorts Worldwide Inc., 549 Fed Appx 37 [2d Cir 2014](obtained on appeal in the United States Court of Appeals for the Second Circuit the reinstatement of certain discrimination claims)
  • Ongoing representation in the United States Immigration Court in New York City of two Honduran brothers seeking asylum in the United States

Honors and Recognitions

  • New York SuperLawyers 2009-2011, 2013-2015
  • The American Law Institute (elected member) 2013-present
  • United States Court of Appeals for the Second Circuit Pro Bono Panel 2012-2015
  • Member of NYU School of Law, Center for Labor and Employment Law

Previous Experience

  • Hunt v. HSBC
    ($770,000 award on tortious interference claim)(NYSE)
  • Pedde v ABN AMRO
    ($720,500 award on breach of employment contract and severance pay claim)(NYSE)
  • Kim v. CUSO
    ($539,000 on breach of contract and defamation claim)(FINRA)
  • Multi million settlement on breach of contract claim for an employee against a major hedge fund
  • $1 million settlement after arbitration but before verdict (recovery equalled 80% of losses) for customers of major securities firm who bought technology stocks based on conflicted research
  • $900,000 settlement on breach of contract claim for analyst against a major broker-dealer

 

Appeals

 

  • Thys v. Fortis Sec. LLC
    74 A.D.3d 546, 903 N.Y.S.2d 368 (App Div, 1st Dept 2010)(reinstating conversion claim involving bonus)
  • Gibbs v. Merrill Lynch, Pierce, Fenner & Smith, Inc.
    99cv647 (U.S.D.C. ND Ga., April 1, 2001), aff’d, (11th Cir., 2002)(vacating arbitration award and reinstating Form U5 defamation claim)

Prior results do not guarantee a similar outcome.