Bonus/Compensation

• Negotiated a $575,000 settlement of a bonus and equity claim for an employee of a FINRA broker-dealer (2022)
• Negotiated an ~$3 million settlement of a defamation and stock compensation claim for an employee of a bank (2020)
• Negotiated a $600,000 settlement of a whistleblower and bonus claim for an employee of a FINRA broker-dealer (2020)
• Negotiated with co-counsel a $3 million settlement of a breach of contract claim for a former employee against a FINRA broker-dealer (2020)
• Negotiated settlement of $1,637,500 on behalf of a broker-dealer owed a finder’s fee. (2020)
• Negotiated settlement of $362,500 on behalf of senior executive regarding breach of contract claims for equity and severance from a New England high-tech start-up (2019)
• Lawsuit in Connecticut State Court Involving Claim for Compensation in a Business Transaction (case settled in mediation for $375,000) (2019)
• Lawsuit in New York State Supreme Court Involving Claim for Breach of Employment Contract (case settled in mediation for ~$662,500 depending on equity valuation) (2019)
• Negotiated Settlement of Claim for Breach of Employment Contract Against Connecticut-Based Private Equity Firm (matter settled in private negotiation for $358,000) (2019)
• Defended Private Firm on Breach of Contract Claim in New York State Supreme Court (case settled in mediation for $20,000 vs. amount demanded of $2 million) (2019)
• Client v. Private Company (Settlement of $512,500)(2018)
• 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 

• Broker-Dealer v. Client (Negotiated a settlement saving client 100% of ~$922,000 of outstanding indebtedness) (2019)
• Broker-Dealer v. Client (Negotiated a settlement saving client 45% of ~$245,000 of outstanding indebtedness) (2019)
• Broker-Dealer v. Client (Negotiated a settlement saving client 100% of ~$800,000 of outstanding indebtedness) (2019)
• Won Appeal in New York’s Appellate Division, First Department Directing Entry of Judgment of a $992,018.18 on a Promissory Note (2019), reported at Loren v. Sarachek, 170 A.D.3d 447 (1st Dep’t 2019)
• Morgan Stanley v. Barney Greengrass
  (Morgan Stanley’s claim for $1.1 million on promissory note denied)(FINRA). See WSJ.com “Morgan Stanley Loses Bonus Claim Against Ex-Broker” and onwallstreet.com “Panel Rejects Morgan Stanley’s Claim Against Former Broker”
• Broker-Dealer v. Client (Negotiated a settlement saving client 90% of outstanding amount due on a significant note) (2014)
• Broker-Dealer v. Client (Negotiated a settlement saving client 25% of outstanding amount due on a large note) (2014)

Arbitration

• Client v. Citigroup Global Markets (FINRA Award for Wrongful Termination and Compensation $4,000,000)(2018)
• Fulbrook Capital Mgt. LLC at al. v Batson, 2015 WL 321889 [SDNY Jan. 26, 2015](Secured court confirmation of important AAA arbitration award)

Appeals

• Williams Trading v. Michael Manaster (2023)
  Decision and Order of Virgina Circuit Court denying motion to vacate award 
• Greengrass v. J.P. Morgan Securities, LLC
  May 2022 – Order vacating arbitration award on promissory note
• Gherardi v. Citigroup Global Markets
  975 F.3d 1232 (11th Cir. 2020)(reinstating $3.4 million FINRA arbitration award for wrongful termination)
• 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)
• Tocco v. Walter J. Dowd, Inc.
  2009 NY Slip Op 32751[U] (N.Y. Sup. Ct. Nov. 20, 2009)(confirming arbitration award)
• O’Hara v. Memorial Sloan-Kettering Cancer Ctr.
  79 Fed. Appx. 471 (2d Cir. 2003)(reinstating retaliation claim)
• 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)
• Carlton v. Mystic Transportation, Inc.
  202 F.3d 129 (2d Cir. 2000), cert denied, 530 U.S. 1261 (2000)(reversing summary judgment and reinstating age discrimination claim)

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)

Other Representations

• Won in New York Supreme Court a Books & Records Case Under the Delaware LLC law allowing investors/member of an investment fund access to the fund’s books and records (2020). Defeated significant portions of motions to dismiss complaint in same case alleging improper conduct with respect to real estate investments (2021)
• 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
• Settled case involving fraudulent transfer of funds from brokerage account (2021)
• Prevailed on motion to dismiss in NY State Supreme Court securing full dismissal of claim alleging misconduct relating to a Ponzi scheme (2021)

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)
• 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, 2013-2021
• The American Law Institute (elected member) 2013-present
• United States Court of Appeals for the Second Circuit Pro Bono Panel 2012-2015
• Former 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)
• Brooks v. MLIM
  ($210,000 on severance pay claim)(FINRA)
• Siemers et al v. Guggenheim Capital Markets, LLC
  ($190,911 plus interest on breach of contract claim)(FINRA)
• Tocco v. Walter J. Dowd
  ($180,000 in contract damages and order of expungement of defamatory Form U5)(FINRA)
• Schwarzwaelder v. Smith Barney
  ($147,000 on finder’s fee claim)(FINRA)
• Eagan v. HSBC
  ($100,000 on breach of contract 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

Prior results do not guarantee a similar outcome…