Notable Cases - Arbitration and Mediation

  • Currently prosecuting 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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