Representative Experience
- Has defended class actions in New York and Chicago federal courts.
- Has defended a major national bank against allegations of wrongdoing in connection with acting as the paying agent for bonds issued by the German government.
- Has defended a major national bank against alleged violations of the federal Fair Credit Reporting Act.
- Has defended a national broker-dealer against multi-million dollar claims arising out of the sale of O’Hare Airport expansion bonds due to the bankruptcy of United Airlines.
- Has defended claim, arising out of termination of employment.
- Has defended financial institutions in arbitration actions at the NFA, FINRA, NYSE, and AAA for losses allegedly caused by mishandling of brokerage accounts.
- Has defended a national commodities firm against charges brought in Florida federal court by the CFTC Enforcement Division that it was committing systemic fraud in violation of the Commodity Exchange Act.
- Has represented a receiver appointed by a Chicago federal court at the request of the SEC in connection with recovering investors assets squandered in a ponzi scheme.
- Has testified as an expert witness on CFTC regulations and compliance procedures in the case of R.J. O'Brien & Associates, Inc. v. Clintonville Lumber, Inc., 04 ARB 119, at the National Futures Association.