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  • Orbixa Technologies, Inc. v. New York Stock Exchange LLC
    For our client New York Stock Exchange LLC, we won counterclaim damages of $3.5-million, while defeating all claims asserted against NYSE, in this international arbitration arising from a contract for distribution of securities market data. Read more >>

  • Lavrinoff v. Laufer
    This case arose from a multimillion dollar venture to construct a major new tourist attraction in New York City – a giant Ferris wheel modeled on the "London Eye." Representing the plaintiffs, we defeated a motion to dismiss brought by one of the nation’s leading law firms on behalf of one of the corporate defendants. Read more >>

  • Williams Trading LLC v. Access Securities LLC
    We have handled thousands of employment disputes involving securities industry participants, including so-called "raiding" cases. Here, we defended our clients against claims for millions of dollars in damages sought by their former employer after they changed firms. All of those claims were denied. Read more >>

  • BNY AIS Nominees Ltd. v. Quan
    The collapse of an off-shore hedge fund resulted in claims of more than $100-million against our clients, the fund’s manager and investment advisor. We secured dismissal of the entire complaint. Read more >>

  • Schwimmer v. Welz
    This case presented an unusual confluence of First Amendment and corporate governance issues in the context of a dispute over control of a religious institution. We succeeded on this appeal in winning reinstatement of our client’s complaint. Read more >>

  • Hakimian v. Bear Stearns
    This case involved novel questions of whether the traditional requirements for a shareholder derivative action apply in arbitration. We convinced the arbitrators that those requirements do apply, securing dismissal of all claims against our clients and then successfully defending that result, first in a trial court and then on this appeal. Read more >>

  • Weinraub v. Glen Rauch Securities, Inc.
    We won this case for the defendants before an NASD arbitration panel, and then won it again when the plaintiff tried to start over in federal court. In addition to dismissing the complaint, the court imposed Rule 11 sanctions against the plaintiff’s lawyer. Read more >>

  • American Express Financial Advisors, Inc. v. Pitts
    We don’t defend passively. When her former employer sued her, we helped our client defeat all of the claims against her and recover $800,000 in counterclaim damages and attorneys' fees. Read more >>

  • Blum v. Bear, Stearns & Co. Inc.
    The arbitration hearing in this defamation case, brought by a former employee of our client, lasted seven days. All claims against our clients were dismissed. Read more >>

  • Raymond James Financial Services, Inc. v. Gemino
    Our client, an independent financial advisor, fought back in this case. After 16 trial days, the arbitrators dismissed all claims against our client and awarded him more than $750,000 in counterclaim damages. Read more >>

  • In re Blech Securities Litigation
    We are experienced with RICO claims, class actions and other complex litigations, as illustrated by these consolidated cases, in which we represented defendant D. Blech & Co. Inc. Read more >>

  • Sabre v. First Dominion Capital, LLC
    This federal court decision, which rejected a motion for summary judgment directed against our clients, reflects the kind of complicated financial dispute that is a hallmark of our practice. Read more >>

  • American Express Financial Advisors, Inc. v. Frank P. Marzano
    We have represented both claimants and respondents in many securities industry employment disputes, such as this one between AEFA and one of its former financial advisors. Our client defeated AEFA’s claims and was awarded $230,000 in counterclaim damages and an expungement order. Read more >>

  • Freundlich v. Ladenburg Thalmann & Co. Inc.
    In this NASD arbitration claim brought by a former brokerage customer of our clients, all claims against our clients were dismissed and the claimant was ordered to pay our clients $20,000 in attorneys’ fees. Read more >>

  • Swerland v. Paragon Capital Corporation
    In this decision by the Court of Appeals of Washington, the court upheld our investment banking client’s right to withdraw from the underwriting of a proposed IPO. Read more >>

  • Drake & Co. Inc. v. Cox
    We are comfortable trying cases anywhere. Before this Memphis arbitration panel, our broker-dealer client won more than $150,000 from three of its former employees who lost the firm’s money in risky bond positions. Read more >>

  • Baxter v. A.R. Baron & Co., Inc.
    We have defended numerous federal securities law claims like those in this multi-party case. Read more >>


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