Cases
Significant Representative Matters: Successfully defended $37 million claim for breach of contract
conspiracy brought in FINRA arbitration
successfully counterclaimed for $1.7 million in compensatory damages as well as attorney fees
interest.
Prepared successful Preliminary Objections resulting in case dismissal in commercial real estate matter where alleged damages were $12.5 million.
Won Motion for Directed Verdict on behalf of national broker-dealer named as defendant in a jury trial involving claims of breach of franchise agreement
intentional interference with contractual relations with alleged damages in excess of $5 million.
Defense verdict in bench trial venued in Pennsylvania state court involving claims against a major commercial real estate with alleged damages of in excess of $3 million based upon claims of breach of fiduciary duty
professional negligence.
Successfully resolved securities class action suit against regional broker-dealer seeking $10 million in damages after court granted partial Motion to Dismiss.
Won defense verdict in NASD arbitration on behalf of a national broker-dealer where the Claimant alleged claims related to the purchase of high-yield bonds.
Successfully compelled to arbitration multiple Complaints where our client was not a party to the arbitration agreement.
Won many FINRA arbitrations involving claims of unsuitability arising out of the market correction of 2000-2002.
Obtained complete defense verdict at NYSE arbitration for claims involving defamation
discrimination with alleged damages in excess of $2 million.
Obtained voluntary dismissal by Plaintiff of a Complaint involving a complicated business dispute with alleged damages in excess of $6 million.
Won Motion to Dismiss Class Action Complaint filed against a national broker-dealer where the alleged damages on behalf of the class were in excess of $2 million.
Successfully argued that Plaintiff must arbitrate a claim against a Nonsignatory Third Party to an arbitration agreement.
Representative Cases: Basil v. Chubb Securities, Inc., 1998 WL 88399 (U. S. District Court Eastern District of Pennsylvania 1998)
Gray v. Tucker Anthony, Inc., NYSE Docket No. 1997-6512 (1997)
Baggesen v. Securities America, Inc., 02-CV-4001 (U.S.D.C. Mass.)
Hirsch v Securities America, Inc, NJ A-5637-10
