Clients have included many leading financial institutions, investment banks, Nasdaq market-makers, institutional and retail brokerage firms, trade execution and clearing firms, hedge funds, and numerous public companies and their senior officers.
SELECTED REPRESENTATIONS
Goldman Sachs
Successfully represented the multinational investment banking firm in connection with many litigation matters including securing dismissal of direct access clients' federal securities claims seeking hundreds of millions in damages for alleged options execution discrimination and firm-quote violations.
Knight Capital Group
Successfully represented the largest Nasdaq market-maker in connection with a multitude of separate trading and market practice investigations by the SEC and FINRA.
RBS Securities
Won a $300 million purchase price dispute related to the proper valuation of a $4 billion pool of commercial mortgage-backed securities on behalf of this major international bank.
Pershing
Obtained preliminary dismissal of fraud and suitability claims by an introducing broker's clients against prominent clearing firm.
Greenwich Capital
Successfully litigated disputed trade involving the sale of a $250 million pool of residential mortgages on behalf of one of the largest fixed-income securities dealers.
Cantor Fitzgerald
Successfully represented Nasdaq market-maker and fixed-income securities dealer in connection with numerous SEC and FINRA market regulation investigations.
Vanguard Mutual Funds
Brought successful federal securities fraud action against Citibank related to the sale of over $60 million in Enron credit-linked notes.
Duke Energy
Obtained preliminary dismissal of federal securities fraud class action regarding $1 billion in reported revenue from round-trip energy derivatives trading.
Kenneth Pasternak
Vindicated founder and former CEO of Knight Capital Group through successful trial of securities fraud and supervisory failure claims in federal district court and FINRA administrative proceeding.
National Westminster Bank
Successfully represented international investment bank in connection with eight federal and state lawsuits alleging federal securities fraud by investors in a $450 million Rule 144A high-yield bond offering used to finance a Thailand steel mill.
State of Hawaii
Collected hundreds of millions of dollars on behalf of Hawaii state insurance commissioner in multiple lawsuits against major Wall Street broker-dealers for facilitating unsuitable high-risk futures and derivatives trading by state insurance company.
SELECTED REPRESENTATIONS
Goldman Sachs
Successfully represented the multinational investment banking firm in connection with many litigation matters including securing dismissal of direct access clients' federal securities claims seeking hundreds of millions in damages for alleged options execution discrimination and firm-quote violations.
Knight Capital Group
Successfully represented the largest Nasdaq market-maker in connection with a multitude of separate trading and market practice investigations by the SEC and FINRA.
RBS Securities
Won a $300 million purchase price dispute related to the proper valuation of a $4 billion pool of commercial mortgage-backed securities on behalf of this major international bank.
Pershing
Obtained preliminary dismissal of fraud and suitability claims by an introducing broker's clients against prominent clearing firm.
Greenwich Capital
Successfully litigated disputed trade involving the sale of a $250 million pool of residential mortgages on behalf of one of the largest fixed-income securities dealers.
Cantor Fitzgerald
Successfully represented Nasdaq market-maker and fixed-income securities dealer in connection with numerous SEC and FINRA market regulation investigations.
Vanguard Mutual Funds
Brought successful federal securities fraud action against Citibank related to the sale of over $60 million in Enron credit-linked notes.
Duke Energy
Obtained preliminary dismissal of federal securities fraud class action regarding $1 billion in reported revenue from round-trip energy derivatives trading.
Kenneth Pasternak
Vindicated founder and former CEO of Knight Capital Group through successful trial of securities fraud and supervisory failure claims in federal district court and FINRA administrative proceeding.
National Westminster Bank
Successfully represented international investment bank in connection with eight federal and state lawsuits alleging federal securities fraud by investors in a $450 million Rule 144A high-yield bond offering used to finance a Thailand steel mill.
State of Hawaii
Collected hundreds of millions of dollars on behalf of Hawaii state insurance commissioner in multiple lawsuits against major Wall Street broker-dealers for facilitating unsuitable high-risk futures and derivatives trading by state insurance company.
