Business Litigation

• Banking & Commercial Litigation
• Securities and Broker-Dealer Defense
• Class Action Defense
• Defense of Shareholder and Derivative Claims
• Trade Secrets/Unfair Competition
• Corporate Control and Shareholder Disputes
• SEC, NASD and NYSE Investigations
• Contract Disputes
• Bankruptcy
• Legal Malpractice
• Trust Litigation
• Business Acquisition Disputes
• Partnership Disputes

Private Mediator and Arbitrator

• Frequently serves as mediator and arbitrator in complex business disputes.
  

Has successfully represented the following:

• A major law firm accused by a court-appointed receiver of malpractice in connection with a $65 million ponzi scheme (all claims dismissed at summary judgment stage).
• A large investment bank in a one week arbitration involving claims against it arising out of a “busted deal” concerning a large power generation facility in Anchorage, Alaska. All claims determined in client’s favor.
• A major law firm accused of malpractice by real estate developer client. After trial, judgment was rendered in favor of law firm client on all claims.
• A large publicly traded company and its directors defending against claims alleging fraud/misrepresentation/breach of fiduciary duty filed by the company’s largest shareholder (all claims against our clients were dismissed).
• A large national bank and its executives accused of causing $40 million+ in damages to a major customer based on alleged violations of various federal securities laws and lending laws (State court in Seattle dismissed all claims).
• A publicly traded bank and its officers and directors in shareholder derivative claims arising out of a contemplated merger transaction (all claims against our clients were dismissed).
• A national securities firm in defense of claims brought by the trustee of a large trust seeking damages in excess of $20 million.  All claims against our clients were dismissed and, after a successful appeal, we recovered all of our clients’ attorneys’ fees against the Plaintiff.  Hollern v. Wachovia Securities, Inc., 2006 U.S. App. LEXIS 20995 (10th Cir. Aug. 16, 2006).
• A large bank and its broker-dealer in multi-million dollar claims arising out of highly publicized criminal misconduct by a senior executive (all claims against our client were dismissed).
• A national securities broker-dealer in defense of a lawsuit brought by an Ohio county in an attempt to recover $115 million in investment losses sustained by large pooled public investment fund.
• Major national and international companies in numerous cases involving trade secrets, non-competition/non-solicitation, inevitable disclosure, raiding and unfair competition issues.
• A national banking institution, accused of breach of fiduciary duty under ERISA for failing to timely invest participants’ contributions to the pension and profit sharing plan of a major insurance company.
• A regional discount brokerage firm in its defense against significant order execution claims involving "when issued" securities (favorable jury verdict).
• A national broker-dealer, accused in a nationwide class action complaint of misleading investors in limited partnerships (obtained dismissal of all claims, affirmed on appeal). 
• A national securities firm and its broker accused of churning, switching between mutual funds, and recommending unsuitable investments (obtained dismissal of both clients after NASD Arbitration hearing).
• An Ohio manufacturer of environmental testing equipment for multi-million dollar losses resulting from breach of a multi-stage requirements contract.
• A national securities firm, accused in a nationwide class action complaint of failing to pay interest to commodities customers (obtained dismissal by federal court; dismissal affirmed by Sixth Circuit Court of Appeals).
• A public company in its defense against shareholder claims alleging violations of Section 10(b) of the Exchange Act and Rule 10b-5, fraud and conspiracy claims.
• A public company in an action against a major competitor for misappropriation of trade secrets involving manufacturing processes in the commercial lighting industry (obtained injunctive relief and favorable settlement).
• A national broker-dealer in its defense against ERISA-based breach of fiduciary duty claims and claims of unsuitability, churning and common law fraud for alleged losses to a pension and profit sharing plan.
• A public company and its recently hired senior executive accused by a competitor of inevitable disclosure of trade secrets.
  

• Burns v. Prudential Secs., Inc., 450 F. Supp. 2d 808, 2006 U.S. Dist. LEXIS 46329 (N.D. Ohio 2006)
• Burns v. Prudential Secs., Inc., 167 Ohio App. 3d 809, 2006 Ohio 3550, 857 N.E.2d 621, 2006 Ohio App. LEXIS 3500 (Marion County 2006)
• Hollern v. Wachovia Secs., Inc., 458 F.3d 1169, 2006 U.S. App. LEXIS 20995 (10th Cir. Colo. 2006)
• Reinglass v. Morgan Stanley Dean Witter, 2006 Ohio 1542, 2006 Ohio App. LEXIS 1417 (Ohio Ct. App., Cuyahoga County 2006)
• In re Arter & Hadden, L.L.P., 335 B.R. 666, 2005 Bankr. LEXIS 2572 (Bankr. N.D. Ohio 2005)
• Wachovia Secs., Inc. v. Gangale, 125 Fed. Appx. 671, 2005 U.S. App. LEXIS 4460 (6th Cir. Ohio 2005)
• Stambaugh v. Corrpro Cos., 116 Fed. Appx. 592, 2004 U.S. App. LEXIS 24103 (6th Cir. Ohio 2004)
• Fazio v. Lehman Bros., Inc., 340 F.3d 386, 2003 U.S. App. LEXIS 16588, 2003 FED App. 284P (6th Cir. Ohio 2003)
• Javitch v. First Union Sec., Inc., 315 F.3d 619, 2003 U.S. App. LEXIS 304, 2003 FED App. 11P (6th Cir. Ohio 2003)
• Stickler v. KeyCorp, 2003 Ohio 283, 2003 Ohio App. LEXIS 264 (Ohio Ct. App., Cuyahoga County 2003)
• Gobble v. Hellman, 2002 U.S. Dist. LEXIS 26833 (N.D. Ohio Mar. 26, 2002)
• Prudential Sec., Inc. v. Yingling, 226 F.3d 668, 2000 U.S. App. LEXIS 22769, 47 Fed. R. Serv. 3d (Callaghan) 814, 2000 FED App. 311P (6th Cir. Ohio 2000)
• Adams v. Dean Witter Reynolds, Inc., 1999 Ohio App. LEXIS 2778 (Ohio Ct. App., Cuyahoga County June 17, 1999)
• Lynch v. Dean Witter Reynolds, Inc., 134 Ohio App. 3d 668, 731 N.E.2d 1205, 1999 Ohio App. LEXIS 4189 (Montgomery County 1999)
• Plating Resources, Inc. v. UTI Corp., 47 F. Supp. 2d 899, 1999 U.S. Dist. LEXIS 6352 (N.D. Ohio 1999)
• Bibbo v. Dean Witter Reynolds, Inc., 151 F.3d 559, 1998 U.S. App. LEXIS 17757, 36 U.C.C. Rep. Serv. 2d (Callaghan) 931, 1998 FED App. 240P (6th Cir. Ohio 1998)
• In re Outdoor Sports Headquarters, 168 B.R. 177, 1994 Bankr. LEXIS 812, 25 Bankr. Ct. Dec. (CRR) 1337, Bankr. L. Rep. (CCH) P 75992 (Bankr. S.D. Ohio 1994)
• Arnold v. City of Cleveland, 67 Ohio St. 3d 35, 616 N.E.2d 163, 1993 Ohio LEXIS 1608 (1993)

AV Rated - Martindale-Hubbell

Named a Top 10 attorney in the state of Ohio by Law & Politics and Cincinnati magazines (January 2007 and 2008)

Named to Best Lawyers in America, Commercial Litigation, Woodward/White (2006-2008 editions)

Named an "Ohio Super Lawyer" in a survey of Ohio lawyers by Law & Politics and Cincinnati magazines (January 2005-2008)

Named a “Super Lawyer” in the Super Lawyer, Corporate Counsel Edition (Business Litigation) (2008)

Ranked as one of Ohio's leading General Commercial Litigation lawyers by Chambers USA: America's Leading Lawyers for Business 2007

Selected as a "Leading Lawyer" in Northeast Ohio in a survey of lawyers by Inside Business Magazine (December 2004-2008) 

Recipient of Crain’s Cleveland Business “40 Under Forty” Award (1995)

“A Mock Securities Arbitration: As Close as You Want to Get,” Speaker and Faculty Member, Securities Industry Institute, The Wharton School, Philadelphia, PA (March 2008)

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

“Mock Arbitration,” Public Investors Arbitration Bar Association (PIABA) 16th Annual Meeting, Amelia Island, FL (October 2007)

"Winning Class Action Litigation," PriceWaterhouseCoopers General Counsel Forum (August 2007)

"Motions to Dismiss:  Procedural & Substantive Approaches for Expediting Arbitrations," American Conference Institute, New York, N.Y. (May 2007)

“A Mock Securities Arbitration: As Close as You Want to Get,” Speaker and Faculty Member, Securities Industry Institute, The Wharton School, Philadelphia, PA (March 2007)

"Managing the Media: Lawyers and the Press," The Cuyahoga County Bar Association (December 2006)

"Winning at Securities Litigation," PriceWaterhouseCoopers General Counsel Forum (August 2006)

"Trust Mismanagement Issues," Hot Topics: Financial Services Update 2006 (May 2006)

“A Mock Securities Arbitration: As Close as You Want to Get,” Speaker and Faculty Member, Securities Industry Institute, The Wharton School, Philadelphia, PA (March 2006)

"The Fundamentals of NASD Arbitration," with Elizabeth Jerdonek, JPMorgan Chase Retail Litigation Group, Chicago, Il (February 2006)

"Winning at Mediation," PriceWaterhouseCoopers General Counsel Forum (August 2005)

“A Mock Securities Arbitration: As Close as You Want to Get,” Speaker and Faculty Member, Securities Industry Institute, The Wharton School, Philadelphia, PA(March 2005)

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

"Jury Selection & Closing Arguments," Cleveland Bar Association and National Institute of Trial Advocacy 2nd Annual Trial Advocacy Institute (June 2004)

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

"Securities Arbitration & Mediation - Mastering the Basics," Practicing Law Institute (December 2003)

"Lawyers' Expectations from an Expert Witness on Financial Matters," Ohio Society of Certified Public Accountants (October 2003)

"Effective Settlement Negotiation Strategies," Bank One Settlement Roundtable, Presentation to Bank One Law Department (September 2003)

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

"Recent Arbitration Decisions Affecting Securities Cases," Cleveland Bar Association Securities Law Institute (February 2003)

"Use of Demonstrative Evidence During Opening Statement," Cleveland Bar Association Advanced Litigation Institute: Litigation in the New Millenium (November 2001)

"Criminalization of Civil Conduct," 2001 Cleveland Securities Law Institute, Cleveland Bar Association 

"Advanced Considerations Involving Non-Compete Agreements," Ulmer & Berne Breakfast Forum Series (March 2000)

"Confidentiality Provisions and Sealing of Court Records," Chapter Co-author, Settlement Agreements in Commercial Disputes, Aspen Law & Business (2000)

"Nuts and Bolts of Trying a Civil Case," Cleveland Bar Association's 1999 Litigation Institute

"Minority Shareholders," Cleveland Bar Association Business Litigation Seminar (December 1998)

"Protecting Your Company's Secrets," The Society for Competitive Intelligence (December 1998)

"Drafting Enforceable Covenants Not To Compete and Arbitration Agreements: The Latest Developments," The Best of Labor & Employment Law Seminar, Ohio CLE Institute (July 1998)

"Injunctive Relief," Cleveland Bar Association Practice and Procedure Clinic, Civil Litigation (April 1998)

"Attorney Disqualification: Tactical and Ethical Ramifications of DR5-101, DR5-102, and DR5-105," Cleveland Bar Association Business Litigation Seminar: Advanced Privilege and Ethical Issues (December 1997)

"Litigation Essentials: Demonstrative Evidence - From the Basic to the Exotic," Cleveland-Marshall College of Law (October 1997)

"Examining Experts at Deposition and at Trial," Cleveland Bar Association Practice and Procedure Clinic - Civil Litigation (April 1997)

"Restrictive Covenants and Arbitration Agreements," Ohio CLE Institute (March 1997)

"Non-Competition and Trade Secrets Issues," Midwestern Labor Law Conference (1996)

"Keeping The Rein on Trade Secrets," PriceWaterhouseCoopers General Counsel Forum (1996)

"The Impact of the Private Securities Litigation Reform Act of 1995," 25th Securities Law Institute, Cleveland Bar Association (1996)

"Can You Keep A Secret?  Protecting Your Trade Secrets Under Ohio Law," Cleveland Bar Association Business Litigation Seminar (1995)

"Trade Secrets Under Ohio Law," 1995 Litigation Institute, Cleveland Bar Association

"Fight To Protect Your Trade Secrets," Enterprise Magazine (Winter 1993)

"The Fundamentals of Arbitrating a Broker Negligence Case," Cuyahoga County Bar Association (1990)

Cleveland Metropolitan Bar Association (Board of Trustees, 2007-present; Member, Executive Committee; Member, Court Rules Committee and Legislation Committee; Chair, Judicial Selection Committee, 2005, 2006; Vice Chair, Judicial Selection Committee, 2002-2004; Chair, Litigation Section, 2000-2001; Chair, 1999 Litigation Institute; Vice Chair, Litigation Section, 1999)

American Bar Association (Litigation Section; Commercial and Banking Litigation and Business Torts Committee)

Ohio State Bar Association (Litigation Section)

Securities Industry Association (Member, Compliance & Legal Division)

American Inns of Court (Founding Member of a Cleveland Chapter) 

City of Cleveland Heights (Chair, Planning Commission, 1999-present)

Glenville High School (2006-2007 academic year) and John Adams High School (2007-2008 academic year) (Co-taught course entitled “Rights, Responsibilities, Realities”)

Appointed by U.S. District Judge Kathleen O'Malley to the Merit Selection Panel for the Reappointment of Incumbent Magistrate Judge James S. Gallas (1999) Transition ‘90 (Member, Cleveland Mayor Mike White’s transition team)  

State of Ohio
U.S. Supreme Court
U.S. Court of Appeals, Sixth Circuit
U.S. Court of Appeals, Tenth Circuit
U.S. District Court, Northern District of Ohio
U.S. District Court, Southern District of Ohio
U.S. District Court, District of Arizona
U.S. District Court, District of Colorado
U.S. District Court, Eastern Division of Wisconsin
Numerous others on a pro hac vice basis