- Has defended financial institutions in class actions in New York, District of Columbia, and Chicago federal courts.
- Has defended a brokerage firm against alleged violations of failure to supervise and anti-money laundering rules when the cash balance of a Pakistani customer’s account was refunded to a fictitious bank account in Pakistan.
- 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 and defamation.
- 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 claims arising out of alleged wrongful termination of employment, non-compete agreements, and raiding cases.
- Has defended financial institutions in arbitration actions at the NFA, FINRA NASD, 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 in connection with recovering investors assets squandered in a Ponzi scheme.
- Has testified as an expert witness on CFTC regulations and compliance procedures relating to margining of a customer account and promotional materials.
- Perik v. JPMorgan Chase Bank, N.A., 2015 IL App (1st) 132245 (Jun. 5, 2015) (case of first impression).
- Korber v. Bundesrepublik Deutschland, 739 F.3d 1009 (7th Cir. 2014), cert. denied, 139 S. Ct. 2729 (Jun. 9, 2014) (dismissal of putative class action against bond trustee for fraud and breach of fiduciary duty).
- Amacker v. Renaissance Asset Management, 657 F.3d 252 (5th Cir. 2011) (dismissal of clearing firm that cleared Ponzi scheme trades).
- Moscatiello v. JJB Hilliard-WL Lyons, Inc., 939 A.2d 325 (Pa. S. Ct. 2008) (enforcement of arbitration award dismissing arbitration against broker-dealer).
- CFTC v. Trinity Financial Group, Inc., [1996-1998 Transfer Binder] Comm. Fut. L. Rep. 27,179 (S.D. Fla. Sept. 29, 1997), aff’d in part, rev’d in part 178 F.3d 1132 (11th Cir. 1999) (defense of CFTC enforcement action).
- Southmark Corp. v. Cagan, 999 F.2d 216 (7th Cir. 1993) (representation of receiver appointed by SEC).