Cases
Experience: Representative Matters: Representing a health care management services organization in contract
regulatory disputes with claimed damages in excess of $15 million.
Representing an executive in ERISA-governed severance benefit litigation seeking $2 million in recovery.
Represented an executive in ERISA litigation seeking $4 million value right benefit resulting from change of control event, resulting in settlement.
Represented a REIT, automotive technology company,
executive clients in executive compensation
incentive plan disputes involving co-founder
officer departures,
incentive plan implementation.
Represented the seller of an online university in $7 million post-sale working capital adjustment dispute.
Represented a REIT in defense of litigation involving interstate transportation of hazardous materials during remediation project.
Represented a developer of 320-acre sports park in construction
financing disputes.
Representation of numerous clients in SEC, FINRA
Arizona Corporation Commission investigations
enforcement actions involving alleged registration, anti-fraud, suitability, recordkeeping,
other st
ards violations.
Representation of securities registered representatives
dually registered investment advisors in FINRA arbitrations involving alleged fraud, churning
fiduciary duty violations.
Represented an investment advisor in AAA arbitration seeking dissolution of a disputed partnership relationship, resulting in award of approximately $1.7 million to client,
in subsequent AAA arbitration seeking dissolution of related real estate company, resulting in recovery of fees
costs.
Represented an insurance agency
five of its agents in SEC
Arizona Securities Division investigations,
in related enforcement actions alleging sales of $17 million in notes associated with a $1.2 billion Ponzi scheme.
Represented an investment advisory firm
one of its principals during an SEC investigation into the firm's options trading strategy,
in defense of two arbitrations filed by a combined total of 30 clients seeking $12 million in damages.
Represented securities representative in FINRA disciplinary hearing
appeal to National Adjudicatory Council in matter related to a nationwide probe into sales of investments in life settlements company.
Negotiated U5 disclosure language with investment advisor's firm, prior to filing, to ensure accurate
fair reporting of separation reasons.
Recovered an award of $4.5 million for a large Mexican farming operation for breach of a distribution
agency contract against a large, U.S.-based produce distributor in arbitration conducted through the International Centre for Dispute Resolution.
Resolved $25 million dispute for Chilean, Mexican,
Peruvian farming operations against U.S.-based produce distributor in Florida federal court action
related USDA PACA process.
Resolved a business dissolution
breach of fiduciary duties action in favor of a company in the health
wellness industry
its managing member, who obtained full ownership of the business.
Resolved a business dissolution action after obtaining the appointment of a receiver for a successful restaurant located near the Gr
Canyon, obtaining sale terms for his clients' ownership interests in the business.
Worked out numerous commercial loans
leases in excess of $1 million on behalf of businesses in health, hospitality
retail industries, as well as individual guarantors.
Obtained the appointment of commercial receivers
judgments on behalf of lenders in cases involving loans secured by office buildings, apartment
condominium complexes
other real property.
The above representations were h
led by Mr. Waugh prior to his joining Greenberg Traurig, LLP.
