Bonus/Compensation

• 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)

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

• 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)

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)
• 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)
• 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, 2013-2019
• 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)

• 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

Appeals

• 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)

Prior results do not guarantee a similar outcome.