• Broker-Dealer Defense
• Securities
• SEC and FINRA Investigations
• Trade Secrets/Unfair Competition
• Business Litigation

Has successfully represented:

• A regional broker-dealer against allegations of failing to properly hire and supervise its former broker, who was accused of using his position of employment to obtain "gifts" in  excess of $275,000 from an elderly client. After an acrimonious and lengthy hearing, the Louisiana NASD arbitration panel found no liability against the broker-dealer, while assessing liability against the former broker (represented by separate counsel).
• A national broker-dealer in oral argument before the Ohio Court of Appeals seeking affirmation of a Motion for Summary Judgment on the grounds that Plaintiff's Ohio securities claims were barred by the applicable statute of limitations.
• A regional broker-dealer accused of failing to supervise its former broker in connection with the broker's alleged personal and professional relationship with her customer by obtaining a complete dismissal of all claims after an NASD arbitration hearing in Philadelphia.
• A national broker-dealer and its registered representatives in an NASD arbitration hearing in Colorado against claims of negligence, breach of fiduciary duty and failure to supervise asserted by a sophisticated businessman seeking damages in excess of $1,000,000. The hearing resulted in a zero award for the Claimant.
• A regional broker-dealer against claims of defamation and wrongful termination seeking over $1 million in damages brought by a former employee who had been terminated for issues relating to a customer's brokerage account.
• A regional broker-dealer by obtaining a directed verdict at the conclusion of the claimant's case-in-chief at an NASD arbitration hearing in St. Louis where the elderly claimant had asserted claims of negligence and failure to supervise based on her investment in technology stocks and unit investment trusts and was seeking damages in excess of $250,000.
• A national broker-dealer and two clearing brokers in an NASD arbitration in Louisiana by obtaining a rare pre-hearing dismissal of claims seeking $100,000,000 in damages based on allegations of fraud and failure to execute.
• Regional and national broker-dealer firms and their employees in connection with customer claims made in court and in arbitration forums in Arizona, Colorado,  Louisiana, Texas, Missouri, Michigan, Indiana, Illinois, Kentucky, Tennessee, West Virginia, Pennsylvania, New York, Ohio and Florida.
• Regional and national broker-dealer firms and their employees in compelling arbitration of customer's claims brought in Ohio, Indiana, Texas, Illinois, Pennsylvania and Louisiana state courts.
• Regional and national broker-dealer firms and their brokers in court and in arbitrations in non-solicitation and trade secret cases.

Presentations
"FINRA – A New Era of Securities Arbitration and Regulation," Hot Topics: Financial Services Update 2007 (November 2007)

"The Fundamentals of NASD Arbitration", with Michael Ungar, JPMorgan Chase Retail Litigation Group, Chicago, Il. (February 2006)

"Fundamentals of Arbitrating NASD Matters", with Michael Ungar, Hot Liability Topics for Financial Service Providers (March 2005)

"NASD Arbitration Process", PNC Bank/J.J.B. Hillard, W.L. Lyons, Inc. Legal and Compliance Seminar (August 2004)

"NASD Arbitration Process", KeyCorp Legal Department (April 2004)

"Securities Litigtion & Arbitration Strategies", Bank One Law Department Seminar (September 2003)