• Vioni v. American Capital Strategies Ltd., 2011 WL 4444276 (S.D.N.Y. 2011), aff’d in relevant part, 2013 WL 203318 (2d Cir. 2013). Successfully represented our client, American Capital, in obtaining summary dismissal of finder’s fee claims in District Court. Affirmed in Second Circuit as to dismissal of all claims against American Capital (claims against co-defendants permitted by Second Circuit to proceed).
• Fairfax Financial Holdings Limited v. S.A.C. Capital Management, LLC, et al. , Docket No. L-2032-06 (N.J. Superior Court, Morris County, 2012). Successfully represented hedge fund defendant against, among others, claims alleging violations of the New Jersey Racketeer Influenced and Corrupt Organization Act related to short selling of Fairfax stock.
• In re Initial Public Offering Securities Litigation, 21 MC 92 (SAS). Represented underwriter in 67 of 310 consolidated actions in the US District Court for the Southern District of New York alleging that IPO underwriters, IPO issuers and individual officers and directors of issuing companies engaged in scheme to inflate the issuers' share price, in violation of the federal securities laws.
• Scott-Macon Securities, Inc. v. Zoltek Companies, Inc., 2005 WL 1138476 (S.D.N.Y. 2005), aff'd in part, 2007 WL 2914873 (2d Cir. 2007). Represented plaintiff placement agent in connection with action for breach of agreement pursuant to which plaintiff was to act as exclusive placement agent in connection with placement of equity and/or debt securities of defendant Zoltek. Obtained partial summary judgment as to liability on behalf of plaintiff, and judgment in favor of plaintiff after trial awarding fees and warrants totalling in excess of $6 million. Affirmed in substantial part by Second Circuit, and remanded for consideration of whether fees and warrants are due on two take-downs of fifth and final placement.
• In re Mutual Funds Investment Litigation, 384 F. Supp. 2d 845 (D. Md. 2005). Represented mutual fund management company in class and derivative actions involving allegations of market timing and late trading.
• Waldock v. M.J. Select Global, Ltd., 2005 WL 2737502 (N.D. Ill. 2005). Represented hedge fund and its principals in securities fraud lawsuit. Obtained dismissal with prejudice of all claims against them.
• Keeney v. Larkin, 306 F. Supp. 2d 522 (D. Md. 2003), aff'd, Fed. Sec. L. Rep.  92,868 (4th Cir. 2004). Obtained dismissal of securities fraud claims against Chief Executive Officer and Chief Financial Officer. Affirmed by Fourth Circuit.
• Decker v. Yorkton Securities, Inc., 106 Cal. App. 4th 1315 (Ct. App., 1st Dist. 2003). Affirming summary judgment in favor of broker that transferred stolen stock certificates; in deciding issue of first impression under California Commercial Code, appellate court held that, in order to hold broker liable, plaintiff must show that broker had subjective knowledge of a significant probability of an adverse claim.
• JPMorgan Chase Bank v. LibertyMutual, et al., 189 F. Supp. 2d 24 (S.D.N.Y. 2002). Represented surety company in this Enron-related litigation during month-long trial; favorably settled prior to jury deliberations.
• Gannon v. Continental Insurance Co., 920 F. Supp. 566 (D.N.J. 1996). Represented corporation and its officers and directors in securities class action. Obtained dismissal of all federal claims. Derivative claims were remanded to state court and obtained summary dismissal of all such claims in the Superior Court and an affirmance in the Appellate Division.
• Levine et al. v. NL Industries. Inc. 717 F. Supp. 252 and 720 F. Supp. 305 (S.D.N.Y.), aff'd, 926 F.2d 199 (2d Cir. 1991). Represented public company in securities class action arising out of, inter alia, alleged misrepresentations made by company in press releases concerning prospects for oil field services business. Obtained summary dismissal of all claims in the District Court and affirmance in the Second Circuit Court of Appeals.

Best Lawyers in America 2013 for Commercial Litigation

The Legal 500 US 2012 for Financial Services: Litigation

Chambers USA: America's Leading Lawyers for Business 2009-2011 for Litigation: Securities

New York Super Lawyers 2006-2012 for Business Litigation and Securities Litigation (Top 100 Super Lawyer, New York--Metro, 2012)

Professional Activity

• Member, Commercial Division Advisory Council

• President, New York County Lawyers' Association (NYCLA)

• Member, Board of Directors, NYCLA Foundation

• Member, NYCLA Executive Committee

• Past Chair, NYCLA Committee on the Federal Courts

• Past Member, NYCLA Task Force on Judicial Independence

• Past Chair, Litigation Committee, New York City Bar

• Member, Entertainment Committee, New York City Bar

• Member, House of Delegates, American Bar Association

• Member, House of Delegates, New York State Bar Association (NYSBA)

• Member, NYSBA Nominating Committee

• Past Chair, NYSBA Committee on Federal Legislation

• Member, Federal Bar Council

• Member, Lawyers Committee, National Center for State Courts

• Member, New York American Inn of Court

• Fellow, Litigation Counsel of America

• Fellow, American Bar Foundation

• Fellow, New York Bar Foundation

• Mediator, US District Court for the Southern District of New York