Our litigators have a deep understanding of a number of industries with a special emphasis on the financial services and real estate industries.

We regularly represent investment managers, 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.

We regularly represent clients in court, in arbitration, and in regulatory proceedings with the SEC and FINRA. Recent matters include:

  • Represented Ascot Fund, Ltd. in litigation arising from investments lost in Madoff Ponzi scheme.

  • Represented NIR Group, LLC in litigation against SEC, and negotiated favorable settlement after obtaining Court order requiring SEC to amend complaint to address deficiencies raised by motion to dismiss.

  • Represented two Managing Directors of large investment bank in SEC investigation into alleged insider trading.

  • Represented president of broker-dealer in SEC investigation into insider trading related to China Yingxia Int’l, Inc., 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.


Practice Contacts

Publications

 

SECURITIES AND FINANCIAL SERVICES LITIGATION

  • Investment Manager/Investor Disputes

  • Hedge Fund and Private Equity Fund Fraud

  • Representation of Directors, Liquidators, and Receivers

  • Compensation Disputes

  • Non-Compete Litigation

SECURITY ENFORCEMENT AND INVESTIGATIONS

BUSINESS DIVORCE AND PARTNERSHIP DISPUTES

CORPORATE GOVERNANCE AND APPRAISAL RIGHTS

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