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Capabilities

Litigation, Arbitration & Investigations

Overview

Our litigators develop strategic solutions that align the interests of our clients and our lawyers so that the litigation strategy is result driven - not fee driven.
We regularly represent investment advisers, investors, service providers, directors, liquidators, receivers and business owners in a wide range of disputes and regulatory proceedings. What sets us apart from our competition is our deep understanding of our practice areas and our willingness to handle cases on a contingency basis or alternative fee structure. We believe that we can best serve our clients by partnering with them through the use of a creative fee structure and then intensely focus on achieving an outstanding result.

Experience

Recent Matters

  • Obtained a $57M appraisal verdict for a fund client in Delaware.
  • Recovered $26M for a fund of funds client that was defrauded by a hedge fund manager.
  • Recovered $14.5M for a minority LLC member who was oppressed by the majority member of the LLC in connection with a cannabis investment.
  • Recovered $10M for shareholders in a quasi-appraisal proceeding in Delaware.
  • Obtained a $2.2M FINRA arbitration award against broker for failing to properly price a derivative security.
  • Obtained a complete defense verdict for majority shareholders in a derivative case brought by minority shareholder.
  • Represented Offshore Directors in litigation arising from investments lost in Madoff Ponzi scheme.
  • Represented Cayman liquidator in connection with the recovery of assets in Wimbledon Fraud.
  • Represented two Managing Directors of a large investment bank in SEC investigation into alleged insider trading.
  • Represented president of broker-dealer in SEC investigation into insider trading and negotiated favorable settlement involving less than $100,000 of disgorgement and penalties.
  • Represented consultant to Chinese Micro-Cap companies in SEC litigation alleging market manipulation and unregistered securities sales; negotiated settlement significantly lower than disgorgement and penalties initially demanded by SEC.
  • Persuaded FINRA not to bring charges against broker-dealer for excessive service charges, after investigation was referred to FINRA Enforcement.
  • Represented investment adviser in ongoing SEC litigation alleging that adviser misrepresented liquidity, valuation and use of cross-trading.
  • Successfully represented broker against FINRA arbitration churning claims, obtaining decision recommending expungement of claims from FINRA records and favorable settlement for less than 6% of claimed damages.
  • Obtained SEC investigatory closure letters with no enforcement action on behalf of numerous clients.
  • Litigated and settled numerous disputes between hedge fund investors and advisers.

SECURITIES AND FINANCIAL SERVICES LITIGATION
 
  • Investment Adviser/Investor Disputes
  • Hedge Fund and Private Equity Fund Fraud
  • Representation of Directors, Liquidators, and Receivers
  • Compensation Disputes
  • Non-Compete Litigation

BUSINESS DIVORCE AND PARTNERSHIP DISPUTES
 
  • Disputes between LLC Members and Partners
  • Buy-Out Rights
  • Dissolution
  • Oppression by Majority Member/Partner
  • Derivative Claims

CORPORATE GOVERNANCE AND APPRAISAL RIGHTS
 
  • Corporate Governance
  • Appraisal Rights
  • Shareholder Activism
  • Fiduciary Duty Disputes
  • Counsel on Delaware and NY Law

SEC ENFORCEMENT AND INVESTIGATIONS
 
  • Defense of SEC and FINRA Enforcement Proceedings
  • Internal Investigations
  • Mock Audits

CUSTOMER SECURITIES ARBITRATION
 
  • Suitability
  • Unauthorized Trading
  • Churning
  • Fraud/Misrepresentation/Omission
  • Failure to Supervise

REAL ESTATE LITIGATION
 
  • Partnership Disputes
  • Brokerage Fee Disputes
  • Foreclosure
  • Title and Enforcement Disputes

CROSS BORDER INSOLVENCY
 
  • Representation of Liquidators and Receivers
  • Representation of Directors
  • Clawback and Fraudulent Conveyance Actions
  • Chapter 15 Proceedings

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We are eager to learn about your business objectives and brainstorm on how we can help you achieve them.