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.