Focus Areas
- Obtained dismissals of numerous and diverse claims, including arbitration and class action claims, by correspondent customers against clearing firm client with many dismissals granted prior to final awards.
- Successfully represented broker dealers against numerous and diverse customer claims and on counterclaims against industry and customer parties.
- Obtained substantial recoveries for a regional broker dealer in recruitment claims against several other institutional broker dealers.
- Successfully represented computer software company in claims relating to copying of hedge fund and fund of funds trading platform.
- Successfully represented employer in defense of age, sex, race, disability and religion employment discrimination claims including federal court jury trial.
- “Throwing Out the Baby with the Bathwater – FINRA’s Latest Proposal to Limit Dispositive Motions,” PLI Securities Arbitration, 2008
- “The Case for Dismissing the Case – Why Dispositive Motions Should Remain an Integral Part of the Arbitral Process,” PLI Securities Arbitration, 2007
- “Clearing Firm Liability Updated 2006 to 2007,” PLI Securities Arbitration, 2007
- “Clearing Firm Liability Updated 2003 to 2004,” PLI Securities Arbitration, 2004
- “Clearing Firm Liability Updated 2002 to 2003 – Thumbs in the Dam,” PLI Securities Arbitration, 2003
- “Adding Power to Your Summations,” PLI Securities Arbitration, 2003
- “Cross Examination in Securities Arbitrations,” PLI Securities Arbitration, 1996
- “Summations in Securities Arbitrations,” PLI Securities Arbitration, 1997
- “Pre-Hearing Motions to Dismiss Securities Arbitration Claims,” PLI Securities Arbitration, 1999
- “Clearing Firm Liability – Has the Dam Really Cracked?”, PLI Securities Arbitration, 2000
- “Clearing Firm Liability Revisited 2001 to 2002” (with supplement), PLI Securities Arbitration, 2001
- “Clearing Firm Liability 2001 to 2002,” PLI Securities Arbitration, 2002
- Selected for inclusion in New York Super Lawyers magazine for Business Litigation, 2014 and 2015
Professional Associations
- Federal Bar Council
- New York State Bar Association
- American Bar Association
- Bar Association of the City of New York
- Securities Industry Financial Markets Association, Compliance and Legal Division
Education
- New York University School of Law, LL.M., 1979,
Trade Regulation
- St. John's University School of Law, J.D., 1974,
associate editor, Law Review
- St. Francis College, B.A., 1971, cum laude
Bar Admissions
- New York