Jonathan M. Herman

Jonathan M. Herman




Jon’s practice involves a broad range of commercial and corporate litigation, with an emphasis on class action defense. The Commercial Litigation group has been named a Tier 1 practice group in Best Lawyers for the past several years. He has handled complex litigation involving banking, securities, publishing, UCC, employment, antitrust, defamation, trademarks and unfair competition, real estate, trusts and estates. Jon has also advised companies and individuals facing regulatory investigations and has significant experience in arbitration proceedings and mediations (as both an advocate and a neutral).

Education & Admissions

New York University School of Law (J.D., 1973), Editor, New York University Law Review, Articles and Book Review

New York University, University Heights (B.A., History with highest honors, 1969), Phi Beta Kappa


  • New York
  • U.S. Supreme Court
  • U.S. Courts of Appeals for the Second, Third, Seventh, Ninth and Eleventh Circuits
  • U.S. District Courts for the Southern and Eastern Districts of New York


Representative Litigation

  • Spinner Consulting LLC v. Stone Point Capital LLC, 2021 U.S. App. LEXIS 10477; 2021 WL 1382809 (2d Cir. Apr. 13, 2021), aff’g 623 B.R. 671; 2020 U.S. Dist. LEXIS 181942 (D. Conn. Sep. 30, 2020) (counsel for defendant Stone Point Capital LLC, in dismissing antitrust claims under Sec. 1 of the Sherman Act and the antitrust laws of both CA and CT)
  • Recovery Fund II USA LLC v. Rabobank, N.A., et al., 2020 U.S. Dist. LEXIS 17395; 2020 WL 509166 (D. Del. Jan. 31, 2020) (counsel for defendants, Bankruptcy Management Solutions, Inc., the largest provider of software services to Chapter 7 trustees, and its CEO, in dismissing, with prejudice, plaintiff’s class action complaint alleging RICO, fraud, and numerous other claims); 2020 U.S. Dist. LEXIS 94065; 2020 WL 2784080 (D. Del. May 29, 2020) (awarding defendants attorneys’ fees as a sanction against plaintiff for filing a frivolous claim)
  • Spinner Consulting LLC v. Bankruptcy Management Solutions, Inc.2020 U.S. App. LEXIS 65 (3d Cir., Jan. 3, 2020), aff'g 2019 U.S. Dist. LEXIS 98577 (D. N.J., Jun. 12, 2019) (counsel for defendant, the largest provider of software services to Chapter 7 trustees, in dismissing plaintiff's class action complaint alleging price-fixing under §1 of the Sherman Act)
  • McGarry & McGarry, LLC v. Bankruptcy Management Solutions, Inc., 2018 U.S. Dist. LEXIS 110264; 2018 WL 3218659 (N.D. Ill., July 2, 2018), aff'd, 2019 U.S. App. LEXIS 26764; 2019 WL 4197546 (7th Cir., Sep. 5, 2019); 2017 U.S. Dist. LEXIS 93133; 2017-1 Trade Cas. (CCH) P 80,029; 2017 WL 2619143 (N.D. Ill., Jun. 16, 2017) (counsel for defendant, the largest provider of software services to Chapter 7 trustees, in dismissing plaintiff’s class action complaints alleging claims under §1 of the Sherman Act and 740 ILCS 10/3, the Illinois Antitrust Act price-fixing provision)
  • Global Access Investment Advisor LLC, et ano. v. Oscar Lopes, et al., 2017 N.Y. Misc. LEXIS 2150 (Sup. Ct., N.Y. Co., May 31, 2017)(counsel for defendant, Banif (Cayman), Ltd., a subsidiary of a large Portuguese banking group, dismissing all claims against it, including aiding and abetting a conversion of funds)
  • Simmons v. Author Solutions LLC, 2015 WL 4002243 (S.D.N.Y. Jul. 1, 2015) (counsel for defendant, the supported self-publication industry leader, and its parent, Penguin Group (USA) LLC, defeating plaintiffs’ motion seeking to certify a large nationwide class and state subclasses of authors regarding claims of deceptive trade practices)
  • Penguin Group (USA) Inc. v. Time/Warner Retail Sales & Marketing Services, Inc., 979 N.Y.S. 2d 69, 2014 WL 338977 (1st Dep’t, Jan. 28, 2014) (counsel for plaintiff publisher, yielding a judgment in favor of publisher for breach of the parties’ distribution agreement in the amount of $3 million)
  • Pfau v. Mortenson, et al., 2012 WL 1524450 (D. Mont., Apr. 30, 2012), aff’d, 2013 WL 5545801 (9th Cir., Oct. 9, 2013) (counsel for defendant publisher Penguin Group (USA) LLC in a RICO, fraud and breach of contract class action case brought on behalf of the 5 million purchasers of the books Three Cups of Tea and Stones Into Schools) (case dismissed with prejudice and no liability to client)
  • Stutzman v. Armstrong, et al., 2013 U.S.Dist. LEXIS 129204 (E.D. Cal., Sep. 9, 2013) (counsel for defendant publisher Penguin Group (USA) LLC in consumer fraud class action brought on behalf of the California residents who purchased Lance Armstrong’s book, It’s Not About the Bike (case dismissed with prejudice and no liability to client on basis of First Amendment principles))
  • Mitchell-White v. Northwest Airlines, Inc., 2011 WL 671630 (S.D.N.Y. Feb. 24, 2011) (counsel for Northwest Airlines/Delta in defense of ADEA class action alleging age discrimination in the administration of Northwest's pension plan; case dismissed on motion; affirmed on appeal to Second Circuit, Oct. 21, 2011)
  • Cress v. Wilson, 2008 WL 5397580 (S.D.N.Y., Dec. 29, 2008) (counsel for Northwest Airlines' directors and others in defense of ERISA class action alleging breach of fiduciary duties in the administration of pension plans; obtained summary judgment dismissing case) 
  • In re Integrated Resources, Inc. Real Estate Limited Partnerships Securities Litigation, 851 F. Supp. 556 (S.D.N.Y. 1994); 1994 U.S. Dist. LEXIS 4116 (S.D.N.Y. 1994); 850 F. Supp. 1105 (S.D.N.Y. 1993); and 815 F. Supp. 620 (S.D.N.Y. 1993) (one of two lead defense counsel for the subsidiaries of Integrated Resources, Inc. in the multi-district litigation consolidating approximately 50 class actions and mass actions, in which tens of thousands of investor plaintiffs sued on claims of securities fraud and RICO Act violations; the Court granted every motion made by defendants, including several motions to dismiss and for summary judgment noted above; litigation favorably settled)
  • JF Corporation, et al. v. Cargill Financial Services, Inc., et al., 2007 WL 3377912 (N.Y.A.D. 1 Dept.); 2007 N.Y.App. Div. LEXIS 11742 (counsel for the Cargill-affiliated defendants in a case in which Brazilian orange-growers alleged that defendants breached various contracts relating to the financing of plaintiffs' orange juice hedging transactions; obtained judgment dismissing case and unanimous affirmance on appeal)
  • Cargill, Incorporated v. Bunge Foods Ltd., 306 A.D.2d 101, 762 N.Y.S.2d 53 (1st Dept 2003) (granting client’s CPLR 7601 petition seeking incorporation of multi-million-dollar usage value provision under Venezuelan GAAP in post-closing, purchase price adjustment dispute-resolution procedure)
  • Cargill Financial Services International, Inc. v. Inkombank (N.Y. State Supreme Court, N.Y. Co.) (1999-2000) (counsel to Cargill, as agent for five British banks, suing to recover $9.2 million balance on defaulted letter of credit issued by the second largest bank in Russia; obtained pre-judgment attachment of all of Inkombank's New York assets and then obtained a $9.2 million judgment, more than 97% of which was collected)
  • Kaufman v. Kinkos Inc. (Del.Ch.Ct.) (represented dissenting institutional and individual shareholders in two actions seeking appraisal rights and damages for breach of fiduciary duty in Delaware squeeze-out merger; settled favorably on behalf of clients) (see 2002 WL32123851 (Del.Ch.) regarding successful motion to compel electronic discovery)
  • Peter Lampack Agency, Inc. v. Martha Grimes and Penguin Group (USA) Inc., 29 Misc.3d 1208 (Sup. Ct., N.Y.Co.) and slip op. dated Oct. 28, 2010, aff’d, App. Div., 1st Dept, Mar. 1, 2012 (counsel to defendant publisher in dismissing contract and tort claims brought by agent for author against author and publisher)
  • James Atlas v. Penguin/Lipper Joint Venture, et al. (American Arbitration Association, NYC) (represented respondents in completely defeating claimant's demand for payment of a profit participation in a publishing joint venture)
  • Richards v. Penguin Putnam Inc. (U.S.D.C., D.S.D.) (2001) (counsel to defendant publisher in a defamation, false light, and misappropriation of likeness case; case dismissed with no liability to client)
  • Tarcher v. Penguin Putnam, Inc., (S.D.N.Y. 2001) (counsel to defendant publisher, successfully dismissing fraud and breach of contract claims relating to a licensing agreement; plaintiff’s motion for reconsideration denied, 2001 WL 1646453) 
  • Kahn v. Buttner, 1999 N.Y. Misc. LEXIS 692 (Sup.Ct., N.Y.Co. Oct. 1, 1999) (represented special committee of the Board of Directors of Value Line Inc. in determination of whether claims in a shareholders' derivative action had merit; on basis of report, court dismissed action)
  • First Bank, N.A. v. Scriptex, Inc. (U.S.D.C., D.N.J.) (obtained $9 million judgment in favor of client bank in lengthy breach of contract/fraud case)
  • Telelogic AB v. Computer Assocs. Int’l, Inc. (S.D.N.Y.) (international dispute concerning sale of assets of business settled favorably on behalf of defendant client)
  • Galaxy Investment Fund Ltd. v. Fenchurch Capital Corp. (U.S.D.C., N.D. Ill.)(counsel to defendant fund manager and its Bermuda-based investment fund in a case commenced by a Swiss investment fund alleging securities fraud and related claims; case dismissed without any liability)
  • Banco Nacional Ultramarino, S.A. v. Chan (Sup.Ct., N.Y. Co.) (counsel to Portuguese bank suing Nigerian entities and others concerning $7 million stolen and fraudulently transferred from the bank's Macao branch through three N.Y.C. banks to Nigeria and Switzerland; favorably settled after extensive motion practice and appeals (e.g., 169 Misc.2d 182, 641 N.Y.S.2d 1006 (Sup.Ct., N.Y.Co.1996); aff’d, 240 A.D.2d 253, 659 N.Y.S.2d 734 (1st Dept 1998))
  • The Marlin Entertainment Group, Ltd. v. ChannelAmerica Television Network, Inc., 94 Civ. 3992 (LAK), U.S.D.C., S.D.N.Y. (1996) (trial of breach of contract/fraud case in which plaintiff sought $8.5 million in damages resulted in offsetting awards on plaintiff's complaint and defendant's counterclaim, leaving a balance of $167 owing by our client (defendant))
  • Morgan v. Clovine Associates Limited Partnership, 902 F.2d 960 (11th Cir. 1990), aff'g Fed. Sec. L. Rep. 94,734 (N.D. Ga. 1989) (affirmance of decision granting motion to dismiss securities fraud, RICO Act and other claims against defendant clients)
  • Fisk v. SuperAnnuities, Inc., 927 F.Supp. 718 (S.D.N.Y. 1996) (granting motion to dismiss claims against defendant clients in securities fraud case)
  • Mickens v. Federal Reserve Bank of New York, U.S.D.C., E.D.N.Y. (1980) (race discrimination case tried to a verdict in favor of client bank) (no published decision)
  • Harden v. United States Lines, Inc. (U.S.D.C., D. Mass. 1979) (race discrimination case tried to a decision in favor of defendant client) (no published decision)
  • Lawlor v. Gallagher President's Report, Inc., Gulf & Western, Inc., et al., 394 F. Supp. 721 (S.D.N.Y. 1975) (libel and wrongful discharge case tried to a decision in favor of defendant clients)
  • Defended large broker/dealers and individual clients in separate formal and informal SEC investigations
  • Defended numerous clients in complex commercial arbitrations before the American Arbitration Association

News & Resources


Employers Beware: Recent Developments in Employee No-Poaching Agreements
"Plausibility in the Eye of the Beholder: Circuits Address How to Read Twombly," American Bar Association Antitrust Magazine
First Department Opens the Door a Bit Wider to “Disclosure-Only” Settlement Agreements in Class Action Cases
New York High Court Holds Business Judgment Rule May Apply to Going-Private Mergers

News & Press Mentions

Dorsey Wins Three Deals of the Year Awards by China Business Law Journal
Super Lawyers Recognizes 10 Dorsey Lawyers in New York
Super Lawyers Recognizes 11 Dorsey Lawyers in New York
Dorsey New York Lawyers Selected for Inclusion in 2022 The Best Lawyers in America and Lawyers of the Year
Super Lawyers Recognizes 13 Dorsey Lawyers in New York
Super Lawyers Recognizes 15 Dorsey Lawyers in New York
Super Lawyers Recognizes 19 Dorsey Lawyers in New York
Seven Dorsey Lawyers in New York Selected for Inclusion in The Best Lawyers in America 2019
Law Firm Can't Sue Over Alleged Software Price-Fixing
Super Lawyers Recognizes 19 Dorsey Lawyers in New York
Dorsey Advises Greater Talent Network in its Sale to United Talent Agency
Six Dorsey Lawyers in New York Selected for Inclusion in The Best Lawyers in America 2018
Super Lawyers Recognizes 18 Dorsey Lawyers in New York
6 Dorsey Lawyers in New York Selected for Inclusion in The Best Lawyers in America 2017
Super Lawyers Recognizes 20 Dorsey Lawyers in New York
8 Dorsey Lawyers in New York Selected for Inclusion in The Best Lawyers in America 2016
Super Lawyers Recognizes 17 Dorsey Lawyers in New York
Super Lawyers Recognizes 18 Dorsey Lawyers in New York

Events & Speaking Engagements

Ethics, Trust and the Sarbanes-Oxley Act

Industries & Practices

Educational Publishing, Technology & Services
International Arbitration & Litigation
Securities & Financial Services Litigation & Enforcement
  • Antitrust & Competition Law
  • Appellate
  • Banking & Financial Institutions
  • Class Action Litigation
  • Commercial Litigation
  • Creative Industries
  • Educational Publishing, Technology & Services
  • Electronic Discovery
  • Energy & Natural Resources
  • Food, Beverage & Agribusiness
  • International Arbitration & Litigation
  • Securities & Financial Services Litigation & Enforcement
  • Trusts & Estates Litigation

Professional & Civic

Professional Achievements

  • Member, Panel of S.D.N.Y. Mediators, selected by the Chief Judge of the United States District Court, Southern District of New York
  • Member, Second Circuit Judicial Conference Program and Planning Committee
  • Member, Association of the Bar of the City of New York; Member, Long-Range Planning Committee, 1994-1997; Committee on Federal Courts, 1991-1994; Ad Hoc Committee on Senate Confirmation Process, 1991-1992; Committee on Professional and Judicial Ethics, 1985-1988; Committee on Civil Courts, 1974
  • Trustee, New York University, 2009-2015 
  • New York University Alumni Association, President, 2006-2008; Vice-President, 1996-2005; Member, Board of Directors, 1996-present
  • New York University Law School Alumni Association, President, 1994-1996; Vice-President, 1990-1993; Member of Board of Directors, 1985-present


    Pro Bono 50 Hours 2022   Contributed 100+ Pro Bono Hours in 2021

  • Martindale Hubbell® AV Preeminent® Rated Lawyer, 1995–2024
  • Listed in Best Lawyers in America©, 2012–2023
  • Listed in New York Super Lawyers, 2006–2010; 2012–2023
  • Contributed more than 50+ Challenge pro bono hours, 2022
  • Contributed more than 100+ Challenge pro bono hours, 2021, 2023
  • Trustee, New York University, 2009–2015
  • Fellow, Litigation Counsel of America
  • New York University Alumni Association Alumni Meritorious Service Award, 1996
Jonathan M. Herman