Our litigators develop strategic solutions that align the interests of our clients and our lawyers so that the litigation strategy is result driven - not fee driven.
We regularly represent investment advisers, investors, service providers, directors, liquidators, receivers and business owners in a wide range of disputes and regulatory proceedings. What sets us apart from our competition is our deep understanding of our practice areas and our willingness to handle cases on a contingency basis or alternative fee structure. We believe that we can best serve our clients by partnering with them through the use of a creative fee structure and then intensely focus on achieving an outstanding result.
Experience
Recent Matters
Obtained a $57M appraisal verdict for a fund client in Delaware.
Recovered $26M for a fund of funds client that was defrauded by a hedge fund manager.
Recovered $14.5M for a minority LLC member who was oppressed by the majority member of the LLC in connection with a cannabis investment.
Recovered $10M for shareholders in a quasi-appraisal proceeding in Delaware.
Obtained a $2.2M FINRA arbitration award against broker for failing to properly price a derivative security.
Obtained a complete defense verdict for majority shareholders in a derivative case brought by minority shareholder.
Represented Offshore Directors in litigation arising from investments lost in Madoff Ponzi scheme.
Represented Cayman liquidator in connection with the recovery of assets in Wimbledon Fraud.
Represented two Managing Directors of a large investment bank in SEC investigation into alleged insider trading.
Represented president of broker-dealer in SEC investigation into insider trading and negotiated favorable settlement involving less than $100,000 of disgorgement and penalties.
Represented consultant to Chinese Micro-Cap companies in SEC litigation alleging market manipulation and unregistered securities sales; negotiated settlement significantly lower than disgorgement and penalties initially demanded by SEC.
Persuaded FINRA not to bring charges against broker-dealer for excessive service charges, after investigation was referred to FINRA Enforcement.
Represented investment adviser in ongoing SEC litigation alleging that adviser misrepresented liquidity, valuation and use of cross-trading.
Successfully represented broker against FINRA arbitration churning claims, obtaining decision recommending expungement of claims from FINRA records and favorable settlement for less than 6% of claimed damages.
Obtained SEC investigatory closure letters with no enforcement action on behalf of numerous clients.
Litigated and settled numerous disputes between hedge fund investors and advisers.
SECURITIES AND FINANCIAL SERVICES LITIGATION
Investment Adviser/Investor Disputes
Hedge Fund and Private Equity Fund Fraud
Representation of Directors, Liquidators, and Receivers
