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Notable Cases - Arbitration and Mediation

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  • Successfully mediated a multi-million dollar accounting malpractice claim against a Big 4 accounting firm arising from erroneous advice concerning where $30 million in income should be properly sourced
    and taxed.     
     

  • Successfully mediated a multi-million dollar breach of contract claim as part of the New York State Second Department  Civil Appeals Management Program, when opposing counsel appealed an adverse decision in the underlying case and the matter was sent to mandatory mediation. 
     

  • Prosecuted five-day FINRA arbitration against inter-dealer broker for failing to pay nearly $5 million in stock grants to former employee.  

 

  • Defended inter-dealer broker against claims of unfair competition and tortious interference brought by a competitor in a FINRA arbitration, defeating claims for injunctive relief.  
     

  • Obtained a complete victory for a national franchisor in a 4-day arbitration hearing in Austin Texas, obtaining a damages award for trademark infringement, and a two-year injunction preventing the former franchisee from conducting a competing business within 50 miles of its former locations.
     

  • Represented one broker-dealer against another in a FINRA arbitration concerning clearing disputes.
     

  • Defended former New York State judges against charges of failure to supervise in their capacity as directors of a broker-dealer in an NASD proceeding.
     

  • Successfully mediated before JAMS a million dollar settlement in a "business divorce" between 50-50 shareholders where ouster and oppression was alleged.
     

  • Successfully mediated in Portland, Oregon a trademark dispute between national retailers.
     

  • Successfully mediated before JAMS a multi-million dollar settlement in a personal injury action.
     

  • Mediated a $15 million claim for breach of contract concerning the acquisition of a power plant and co-generation facility.
     

  • Negotiated dozens of employee severance agreements on behalf of corporations and management.
     

  • Successfully mediated in Austin, Texas a dispute between a franchisor and franchisee over claims of violations of the Texas Deceptive Trade Protections Act.
     

  • Defended a broker-dealer in an NASD proceeding against a breach of fiduciary duty claim, and obtained a complete dismissal after an evidentiary hearing.
     

  • Prosecuted a claim for unsuitable trading before the NASD against a major broker-dealer and procured a favorable settlement.
     

  • Represented one member of a limited liability partnership against another member in a $60 million, 15-day AAA arbitration concerning allegations of breach of fiduciary duty.
     

  • Successfully mediated $2 million product liability claim in federal court.
     

  • Prosecuted a breach of contract claim on behalf of a Japanese manufacturer before the AAA.
     

  • Prosecuted fraud claims against an attorney at a major law firm in AAA arbitration and recovered 100% of the loss, secured by a confession of judgment.
     

  • Mediated a multi-million dollar copyright infringement claim in federal court.

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