Reif Law Group, P.C. Pro

Reif Law Group, P.C. (RLG) is comprised of highly skilled attorneys who focus on providing superior client service. Drawing on our experience as seasoned trial and arbitration attorneys, RLG’s attorneys meticulously evaluate the essential facts and the applicable law and develop a trial plan based on careful consideration of our clients’ goals and potential outcomes of the dispute. This approach has earned RLG the trust of its loyal clients, and RLG reciprocates by developing a deep understanding of our clients’ businesses to better service them. We believe in forming strong relationships with a smaller number of clients and continuing to provide positive results. Through our experience working within litigation budgets and sometimes with our clients’ insurers, we avoid unnecessary discovery disputes and motion practice in favor of pursuing cost-effective outcomes for our clients. While RLG prides itself on its trial-readiness and trial skills, sometimes the best outcomes occur before trial and derive from sharp and persuasive writing and oral advocacy as well as strategic settlement negotiations. About Us RLG is a boutique law firm that provides skilled and tactical representation to its clients. Our goal is to protect our clients at every stage of the process and to provide a positive outcome. A positive outcome starts with a clear definition of what the “win” looks like, and we partner with our clients to develop favorable solutions. We zealously advocate for our clients throughout the process to maximize results at the earliest stage of the dispute. Most disputes are resolved with a negotiated settlement. While most attorneys litigate towards the negotiated settlement, RLG’s attorneys litigate as if the dispute will go to trial. Our trial-readiness discipline prepares us for any opportunity or advantage for our clients both in and out of the courtroom. We strongly believe that the most effective client results are achieved by the attorneys and clients who are ready to go to trial. Securities Litigation and Arbitration DisputesReif Law Group, P.C. represents the securities and financial services industries in all types disputes, litigation and regulatory matters. We handle customer disputes, industry disputes, regulatory actions, vendor and sponsor disputes and insurance coverage disputes, to name a few. We also offer advisory and counseling services with respect to issues that create liability risks for our clients and their customers. Customer Disputes We have extensive experience representing financial institutions and its affiliates, banks, investment advisory firms, brokerage firms, insurance agencies and securities-licensed individuals and businesses in a wide variety of financial services disputes including: Federal and state securities, banking, corporate and insurance laws Breach of fiduciary duty and constructive fraud Unsuitability and over-concentration Churning and active trading Supervision and control person liability Selling away, private securities transactions and outside business activities Misrepresentations, omissions and fraud Unauthorized transactions, embezzlement and theft Forgeries and impersonations Investment product failures or misconduct Unlicensed and unregistered securities activities Portfolio mismanagement and well-managed account theories Senior citizen (elder) abuse and undue influence Our experience includes individual and grouped customer disputes, shareholder and partnership actions, class actions, stock and stock option disputes, ERISA litigation and complex insurance and estate planning disputes. Industry Disputes RLG’s attorneys have a deep understanding of the securities industry rules and norms and represent securities industry professionals in all types of disputes, arbitration and litigation matters. We handle disputes between FINRA member firms, between member firms and associated persons, and between associated persons. Disputes often arise when remarks made by a member firm to securities regulators regarding former employees or independent contractors are interpreted as defamatory, libelous or retaliatory. RLG’s attorneys have extensive experience defending the U5, IARD and ADV disclosure remarks as well as prosecuting expungement and defamation actions, depending on the facts and circumstances. RLG’s attorneys also assist clients with a variety of other industry disputes, including Broker Protocol and non-Protocol transitions, data breach and privacy policy violations, unpaid compensation, commissions splits/allocations and disputes regarding independent contractor classification. Please also visit Business Disruption Disputes and Workplace Disputes and Discrimination. RLG’s attorneys also prosecute and defend business disputes for our financial services clients involving vendors and service providers, including software companies, landlords, custodians, trustees, clearing firms, issuers, sponsors, promoters, marketers, administrators, underwriters, insurers, competitors and ex-employees and agents, among others. Regulatory Disputes

RLG represents its clients in government and self-regulatory investigations and enforcement actions, including parallel proceedings where disputes and government or regulator actions co-exist. Representative adversaries include:

· Financial Industry Regulatory Authority (FINRA)

· United States Securities and Exchange Commission (SEC)

· Commodities Futures Trading Commission (CFTC)

· National Futures Association (NFA)

· United States Attorneys’ Office (USA)

· United States Department of Justice (DOJ)

· Certified Financial Planning Board (CFP)

· California Department of Justice

· California Department of Business Oversight

· California Department of Insurance

· California Department of Real Estate

· State attorneys general and securities regulators in various states

Some of RLG’s best results have been achieved by convincing the regulators to not pursue charges or a public censure with our clients. In situations where a public censure is unavoidable, RLG’s attorneys have a deep understanding of the regulatory rules and practices to help craft a suitable outcome for our clients.

RLG advises broker-dealers, banks, insurance companies, insurance agencies and investment advisers with respect to a wide array of legal, regulatory and compliance issues. Our assignments include assisting clients with regulatory examinations, internal investigations, for-cause and “sweep” inquiries and other regulatory issues. We assist clients with pre-lawsuit/arbitration complaints and investigations. We advise clients with respect to suspicious activities such as wire and mail fraud, senior/elder abuse, money laundering, privacy policy violations and various other scams and situations that pose a risk to our clients and their customers. We advise clients with respect to Form U5, IARD and ADV disclosures as well.

RLG’s attorneys negotiate and revise vendor and sponsor contracts to ensure our clients’ rights are protected and their remedies for breach are maximized. Examples of our recent vendor contract work include prohibiting non-domestic (overseas) back-up data storage, prohibiting the use of sub-contractors, strengthening data privacy policies and augmenting remedies for breach of contract.

RLG’s attorneys help business and individual policyholders resolve insurance coverage disputes through negotiation and litigation. RLG’s attorneys have a strong background in financial institution insurance policies, exclusions and industry standards. We sometimes interface with our clients throughout the life cycle of an insurance claim, including the tender/submission of a claim, handling the defense and negotiating our clients’ rights under the insurance policy. These disputes involve many types of insurance policies, including commercial general liability, directors and officers, errors and omissions, employment practices, fidelity/crime and cyber risks.

RLG has extensive experience handling professional liability cases for both plaintiffs and defendants. We handle all types of negligence, breach of contract, breach of fiduciary duty, unfair competition and fraud lawsuits and arbitrations.

Threats of professional misconduct have the potential to impair a professional’s livelihood and reputation. RLG’s attorneys understand the high stakes when these disputes surface. Our attorneys carefully navigate clients through every step of the process, explaining complex legal issues and crafting strategies and approaches designed to achieve the best possible outcome. RLG’s attorneys leverage the critical issues in each matter, whether it is the statute of limitations, Anti-SLAPP, contractual terms, causation, damages, applicable privileges or other disputed issues.

RLG represents accountants, auditors, enrolled agents, tax consultants and tax preparers who work in sole practitioners, partnerships and large firms. Examples of issues we have litigated include audits, compilations, financial statements, projections, tax return preparation, tax planning, business and personal financial management, investment advice, high net worth estate planning and other tax planning disputes. Our representative matters include allegations of misconduct with respect to improper deductions and improper use of tax shelters and prohibited transactions; financial and estate tax planning; retirement and pension plans; business sales and purchases; and management of professional practices and business entities.

RLG represents attorneys, law firms, trustees and attorney expert witnesses. We represent attorneys in actions brought by current and former clients, third parties, adversaries, competitors, disgruntled heirs/beneficiaries and the California State Bar. Our representative matters include legal malpractice, breach of contract, breach of fiduciary duty, excessive billing, fraud, violations of California statutes, defamation and other claims. We also prosecute actions on behalf of attorneys for unpaid fees, breach of contract and fraud against their former clients and third parties.

Our cyber law and data breach practice includes prosecuting and defending actions involving data security incidents, including breach, theft and catastrophic events. We defend class actions and lawsuits by customers, vendors and third parties. We respond to regulatory inquiries and investigations and defend enforcement actions. We prosecute actions by individuals and entities whose private data has been compromised. We also prosecute actions by individuals and entities against third parties, vendors and ex-employees/agents to recover private data compromised during a data breach and money damages caused by the breach. We also assert our clients’ rights to defense and indemnity under their cyber liability insurance policies.

Our insurance professional litigation practice includes agents and brokers, agencies, wholesalers, field marketing organizations and the like. Typical representations include allegations that the insurance professionals: failed to procure insurance coverage; failed to recommend policies or suitable insurance coverage; violated insurance laws or sales procedures; or failed to properly deliver and disclose the details of the policies. We handle all types of insurance policy disputes, including individual home owners and automobile policies, fixed index annuities and other insurance and annuity products, comprehensive business insurance programs, complex investment and tax-planning strategies, ERISA plans, health plans, tax-shelters, offshore investments, prohibited transactions, unregistered securities transactions, business interruption insurance, property and casualty insurance, professional errors and omissions insurance, employment liability insurance and directors and officers liability insurance.

RLG represents real estate professionals in all aspects of the industry including developers, owners, managers, management companies, buyers, sellers, landlords, tenants, contractors, subcontractors, brokers, agents, auctioneers, investors, financial institutions, lenders, escrow and title. RLG’s attorneys bring a wealth of litigation experience to diverse areas such as:

· Purchase and sale agreement disputes

· Ownership disputes involving partnerships, LLCs, co-tenants and joint ventures

· Real estate covenant disputes

· Real estate brokerage claims

· Commercial and residential lease disputes for landlords and tenants

· Escrow and title insurance claims

· Auction house, auctions and property marketing disputes

· Construction disputes

· Disputes with investors, financial institutions and lenders

· Conflicts of interests

· Nondisclosure of material facts

· Violations of federal and state laws and regulatory guidelines

Our real estate litigation practice involves disputes between buyers and sellers of real estate and notes, disputes between real estate professionals and the current and former customers and disputes between real estate owners/investors and various third parties. These disputes are typically litigated in federal and state courts, arbitration forums, private mediation and before state agencies.

Please also visit Securities Litigation and Arbitration Disputes.

RLG’s business disruption practice focuses on trade secrets, computer fraud, employee mobility and restraining orders involving confidentiality, non-compete and non-solicit clauses as well as privacy policies and stolen computer data. RLG prides itself on being the law firm of choice when our clients need to quickly mobilize a prosecution or a defense of high-stakes, fast-paced disputes involving cease and desist demands, restraining orders and preliminary injunctions. We have obtained immediate results ranging from the prompt return of stolen trade secrets, forcing competitors to cancel client seminars and webinars and forcing competitors to cease and desist from disruptive client and employee solicitations. We have also obtained emergency relief such as restraining orders, injunctions and writs of attachment in a variety of cases.

RLG litigates high stakes business disruption cases involving non-compete, non-solicit and trade secret cases. We represent executives, professionals, financial advisors, insurance agents, sales executives and other high-level employees who are switching companies or who have started their own businesses. We represent companies whose employees have joined competing businesses or established new competing businesses. We represent companies accused of “raiding” competing companies for desirable qualified employees or professionals.

These disputes routinely turn on:

· Restrictive covenants such as non-compete, non-solicit and confidentiality agreements between the parties

· The parties’ conduct immediately before and immediately after the departures

· The laws, regulations and industry practices governing the parties and their businesses

We are often called upon to pursue or defend against a temporary restraining order or a preliminary injunction aimed at stopping the adversaries’ conduct. RLG is adept at responding quickly in these fast-moving situations.

California’s workplace laws prohibiting discrimination, harassment and retaliation continue to change, so choosing a law firm with talented attorneys is important. Reif Law Group, P.C. represents employers as well as employees, independent contractor and agents in discrimination, harassment, retaliation and wrongful termination lawsuits and arbitrations.

We litigate actions alleging wrongful discharge, breach of contract, misclassification of individuals as independent contractors, trade secrets, confidentiality and non-compete agreements, workplace violence, negligent hiring and retention and discrimination based on age, sex, race, color, religion, national origin, disability/handicap, sexual orientation, marital status and veteran status. We also have experience litigating cases of libel, slander, defamation and any other matter that arises out of or relates to the workplace relationship.

RLG handles employment cases on an hourly, contingency fee or hourly/contingency mix to keep our fee structure flexible, depending on the situation.

RLG’s attorneys have a deep understanding of the securities industry rules and norms and we represent securities industry entities and professionals in all types of disputes, arbitration and litigation. We handle member firm disputes, disputes between member firm and associated persons and disputes between associated persons. Please also visit Securities Litigation and Arbitration Disputes and Business Disruption Disputes.

A whistleblower is someone within an organization who witnesses illegal activity and exposes it to the proper authorities. If you have firsthand knowledge of illegal activity at your private or public employer, RLG’s attorneys can help protect your rights as a whistleblower as you move through the legal process.

Federal law and California law protect persons against retaliation when engaging in whistleblower activities against an employer. Whistleblower retaliation occurs when an employer subjects an employee to negative treatment in the workplace for the employee's reporting of illegal activity being committed by the employer. Illegal activity can be reported either to an outside agency or internally to someone who has the authority to correct the legal violation. Legal protections against retaliation include workers who report their employer wrongdoing, as well as workers who refuse to comply with their employers' directives to break the law. If you have firsthand knowledge of fraud or wrongdoing involving private or public employers, your rights are protected under the law.

Possible retaliatory actions might include:

Terminations, demotions or denial of promotions Denial of pay increases Negative performance evaluations Decreasing work hours, salary or hourly wages Workplace embarrassment, ridicule or harassment We handle employment cases on an hourly, contingency fee or hourly/contingency mix to keep our fee structure flexible, depending on the situation.

Operating a business poses many challenges: officers and directors’ day-to-day management; revenue and cost fluctuations; shareholder grievances; financial transparency disputes; distribution and dividend modifications; and books and records inspection rights. We have extensive experience representing interest-holders in business entities in a wide variety of corporate, shareholder and partnership disputes:

Shareholder and partnership disputes and dissolution Officer and director malfeasance and misconduct Breaches of fiduciary duty and self-dealing Misappropriation of corporate assets and embezzlement Minority shareholder oppression Profit sharing disputes Failure to pay distributions or investment returns Lack of transparency with financials and business records Every situation is different and the most effective way to achieve the desired results is proper planning with skilled attorneys and careful evaluation of the clients’ legal rights and governing law.

RLG’s three original partners are, from left, Marc S. Ehrlich, Brandon S. Reif and Rebecca E. MacLaren.