Experience
Representative Litigation
Class Action Defense
- Secured order denying plaintiffs' motion for class certification and dismissal of a putative class action brought by individuals seeking to represent a nationwide class of thousands of financial advisors and franchisees.
- Secured order dismissing a putative nationwide class action alleging claims related to a spinoff by a publicly traded company.
- Secured dismissal of a putative class action lawsuit brought by shareholders alleging breach of fiduciary duty and breach of contract.
- Secured withdrawal of a putative California statewide class action alleging violations of California wage and hour laws.
- Secured dismissal of a California class action based on application of an arbitration agreement.
Government Investigations and White-Collar Defense
- Negotiated Deferred Prosecution Agreement for a public company, preventing indictment and prosecution of the company for political bribery.
- Represented clients in federal and state criminal, regulatory, and civil investigations spanning banking, environmental, securities, fraud, health care, political bribery, and antitrust matters.
- Conducted internal investigations for management, boards, and audit committees involving allegations of fraud, accounting issues, and violations of law, including matters related to the Foreign Corrupt Practices Act (FCPA), mortgage fraud, securities fraud, and health care fraud.
- Represented clients in connection with investigations by government agencies and whistleblower and qui tam claims, including matters involving insurance, banking, health care, tax, government contractor, and securities fraud.
- Secured an order in favor of a client based on a finding that the internal investigation was 'thorough' and 'credible,' in a matter involving allegations of collusion and other misconduct.
- Represented clients charged with criminal violations in federal and state court.
FINRA Arbitration and Enforcement/ Trade Secrets, Noncompetes, and Corporate Raiding
- Secured complete dismissal after a full hearing of a multi-million-dollar FINRA claim brought by a Virginia financial advisor for breach of contract and related compliance issues.
- Secured complete dismissal after a full hearing of a FINRA claim brought by a Pennsylvania financial advisor for alleged breach of contract.
- Secured complete dismissal after a full hearing of a FINRA claim brought by a Massachusetts financial advisor for alleged breach of contract and policies related to his desire to become a franchisee financial advisor.
- Secured dismissal of multiple multimillion-dollar claims by a FINRA panel after trial on disputes involving compliance violations and alleged breach of franchise agreement in Florida, California, Pennsylvania, and Massachusetts.
- Secured dismissal of eight figure claim against a securities firm alleging multiple violations of agreements, interference with agreements.
- Secured awards in FINRA cases throughout the United States on behalf of securities clients.
- Obtained seven figure settlements on multiple trade secret and/or restrictive covenant cases in court and FINRA Arbitration.
- Represented clients in connection with FINRA enforcement proceedings.
- Represented clients in industry-related FINRA arbitrations.
- Obtained injunction against a former CEO who embezzled millions from a former employer.
- Secured dismissal for a bank client of raiding and conversion claims brought by a competing bank.
- Defeated multiple motions for temporary restraining orders in securities broker raiding cases.
- Secured motions for temporary restraining order related to solicitation and conversion of confidential information for financial institution clients.
- Represented clients in litigation regarding confidential information and trade secrets, nonsolicitation and noncompete provisions, Broker Protocol, and employee raiding.
Healthcare Litigation
- Represented HMO in a billion-dollar dispute over a request for proposal (RFP) for various state health insurance programs.
- Secured dismissal of provider claims against an HMO alleging termination of contract in violation of the Minnesota Human Rights Act.
- Represented clients in connection with False Claims Act cases and investigations by government agencies involving health care, banking, insurance, tax, and government contractor fraud.
Civil Fraud and Commercial Litigation
- Represented clients in connection with allegations of civil fraud.
- Represented clients being sued by former employees alleging wrongful termination, discrimination, harassment, or whistleblower retaliation.
- Represented schools and other nonprofits in connection with allegations of misconduct.
- Represented clients in antitrust civil litigation in the vitamins, pharmaceutical, and tobacco industries.
- Represented clients in litigation involving franchise agreements.

