SELECT REPRESENTATIVE CASES
FINRA Arbitration Experience
FINRA Case ID: 15-00862
FINRA Case ID: 15-01162
In each of these recently settled arbitration proceedings, we represented a registered representative affiliated with a large wirehouse/bank who was accused of various violations of securities laws by elderly and unhealthy clients. The cases were complicated further by claimants’ counsel’s website, which, in an attempt to find more clients for himself, defamed our client. Pending enforcement proceedings made the cases more complex. Both cases were recently settled successfully and cost- effectively through the use of mediation well before the arbitration hearing.
Class Action/Securities Litigation Experience
Calfo v. Messina, 15 Civ. 4010 (SDNY - LGS)
In this class action securities litigation, we represent an officer and director of a public company accused with various violations of securities laws. We recently filed a motion to dismiss. Looking ahead, we (working together with the carrier’s counsel) have developed a strategy that should lead to a cost-effective resolution in the event that we do not prevail on the motion.
Class-Action Defense (Non-Securities) Experience
Ramales v. Justin Timberlake, et al, 08-cv-9890 (SDNY – DAB)
In this class action lawsuit against a high profile singer/entertainer and his partners in a series of restaurants, we obtained a very positive and early settlement for our clients.
SEC Administrative Proceeding/Trial Experience
In the Matter of Eldaher, AP File No. 3-16326 (Chief Judge Murray)
In this matter, the SEC prosecuted a claim against a registered representative, and refused to settle unless the registered representative agreed to be barred from the industry for life. Forced to go to trial with very bad facts, the judgment was a mere six month suspension for our client.
Bankruptcy and Adversary Proceedings Experience
In re TS Employment Inc.: 15-10243-mg (Chapter 11-SDNY)
In re Corporate Resource Services, Inc.: 15-12329-mg (Chapter 11-SDNY)
In these two related cases, we represent an officer and director of a public company in his dealings with the Chapter 11 Trustee and creditors of the companies.
Wallace et al v. BSC Properties, Inc.: 10-08381-rdd (Chapter 11-SDNY)
In this adversary proceeding brought pursuant to a Chapter 11 bankruptcy, we were appointed as Special Litigation Counsel for the Debtors by Judge Drain, resulting in a reduction of claims asserted as against the Debtor of over $29,000,000.
Commercial Litigation and Appellate Experience
Jean Isernio v. Blue Star Jets, LLC: 651295/15 (NY State Supreme Court, NY County)
In this special proceeding, our client, a private jet charter brokerage, had lost in an underlying arbitration against Ms. Isernio. Upon Ms. Isernio’s Motion to Confirm and our Cross-Motion to Vacate, the Hon. Wright denied Ms. Isernio’s Motion to Confirm and granted our Cross-Motion to vacate the underlying arbitration award. An appeal was recently filed, which we are opposing.
George Lindemann v. Blue Star Jets, LLC: Case No. 07-23315CA24 (Miami Dade, Florida)
In this case, our private jet charter brokerage client was sued for civil theft when it charged Mr. Lindemann’s credit card after he had cancelled his flight at the last minute. The entire cost of the flight was only $13,000, but when Mr. Lindemann refused take his money back in settlement, we were forced to trial before a jury. The jury decided in our favor, and also assessed attorney’s fees against the Plaintiff. We then successfully defended the result of the jury trial on appeal to Florida’s Third District Court of Appeals.
LG Capital Funding, LLC v. PositiveID Corporation, 17 cv 1297 (EDNY - NGG)
In this microcap litigation, we defended a microcap public company against a predatory toxic debt lender. The predatory debt lender filed an Order to Show Cause seeking an injunction forcing the public company to convert shares at a criminally usurious discount, but fortunately we successfully defeated that application.
Power Up Lending Group, LTD. v. Proto Script Pharmaceutical Corp, 17-cv-4083 (EDNY - ADS)
In this litigation, a lender sued a microcap public company for breach of a Note and Stock Purchase Agreement due to missed public filing dates. This meant the lender could not have conversion notices honored. We prepared and briefed a series of motions to keep the lender from going on the offensive, while working together with our client to develop a cost-effective negotiated exit strategy.