Recent Litigation Successes
Securities Entertainment Commercial

Securities Arbitration/Litigation

  • The firm has successfully battled numerous disputes by or on behalf of broker/dealers, investment banks, venture capital firms and hedge funds.
  • On behalf of brokerage firms, the firm has successfully obtained legal fees in cases sought by Claimants against said firms.
  • The Firm successfully defended hundreds of customer/brokerage firm securities arbitrations on behalf of brokerage firms.
  • The firm also successfully won or settled significant claims against major brokerage houses on behalf of customers.
  • Successful in actions by brokerage firms against former officers/employees for employment related issues in which the firm was victorious before arbitration panels.
  • On behalf of brokerage firms, The Firm obtained numerous injunctions and significant monetary damages in actions against former brokers.
  • The Firm successfully defended enforcement actions brought by self-regulatory organizations against broker-dealers and registered representatives.  Have also successfuly had brokers re-admitted to the business after being statutorily disqualified under the rules of the NASD, NYSE and SEC.

 

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Commercial Litigation:

  • Successfully defended various employment related litigations both in court and arbitration involving covenants not to compete, covenants not to solicit, payments on employment notes, terminations for cause and related issues: Special Counsel v. Howard Sloan (Summer 2004); Slavens v. Bank of New York Securities (Fall 2004).
  • Successfully settled multi-party dispute before the New York State Courts involving the receipt of brokerage commissions over sale of commercial properties in Westchester, New York: Granowitz v. Friedland Realty (Winter 2004-05).
  • Successfully settled dispute involving trade secret/confidentiality issues and claims of fraudulent inducement, fraudulent representation and breaches of contract before the American Arbitration Association: W.P.P. v. WebRecruiter (Fall 2004).
  • Successfully commenced and tried fraudulent conveyance action before the New York State Supreme Court, County of New York on behalf of estate against family members and was also victorious on the appeal: Estate of Goldman v. Goldman (Winter 2000 – Fall 2004).
  • Successfully prosecuted three week jury trial before the United States District Court for the Southern District of New York on behalf of re-biller of long distance telephone services against what was then one of the largest telephone communication companies in the world: MTX v. MCI Worldcomm (Spring 2002).
  • On behalf of Austrian and German concentration camp and slave labor victims of the Holocaust, commenced a special proceeding against attorneys who recovered up to $40 million in legal fees representing those victims, requesting that those monies be returned to the victims: In Re: Zeisel Holocaust Litigation (Summer 2001 – Spring 2003).
  • In a decision that has obtained national prominence, successfully had the United States District Court for the Southern District of New York dismiss a multi-million dollar shareholder litigation against a publicly traded company and its investment banker: Vogel v. Conseco (Winter 2002).
  • Successfully defeated motion to certify a class before the United States District Court for the District of New Jersey brought by shareholders which sued the company, its officers and directors, accountants and investment banker on various federal securities law claims in connection with an IPO: In Re: Jasmine Shareholder Class Action (Fall 1998 through Winter 2003).
  • Successfully convinced class of shareholders to dismiss claim against investment banking firm in multimillion dollar class action: In Re: United States Office Products (Fall 2001).
  • Successfully tried, before a Justice of the Supreme Court, County of New York, a contractual dispute between public company and alleged contractual parties: Fidelity v. S & L (Winter 2002).
  • Successfully defended two week jury trial before the Supreme Court, State of New York, County of New York, brought by former employer of career training center for, among other things, violation of a covenant not to compete, raiding and pirating of intellectual property: American Careers v. National Careers (Summer 2001).
  • On behalf of former employees and start up internet marketing company, successfully defended against action seeking to prohibit employees and their company from competing with internationally recognized media conglomerate: Bloomberg Inc. v. Swivelhead, et al (Winter 2001).
  • On behalf of two partnerships, successfully recovered approximately $1,000,000 on a loan against accounting firm for debtor company that filed for bankruptcy: Trigger v. Medcentrix (Winter 2001).
  • Successfully represented one of the largest clothing/jean manufacturers, distributors, importers, wholesalers and retailers in dispute against another large clothing company regarding intellectual property rights, contractual breaches, disputes within the Board of Directors and other torts: Guess?, Inc. v. Jordache, Inc.
  • Represented four of eight members of the Board of Directors in dispute that created deadlocke
    d Board and compelled the creation of a ninth member of the Board to resolve all issues through litigation and appeal: Command Securities, Inc. v. Robinett.

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Entertainment Litigation:

  • Currently represent major record label in dispute over lost negatives of the “B-52s” which include the negative of the photograph of the band’s “Greatest Hits” album cover: DuBose v. Warner Bros. Records Inc.: (Fall 2004).
  • Successfully obtained injunction against former employee who, without any restrictive covenant, was restrained from conducting business.
  • On behalf of National Football League quarterback, commenced action and successfully recovered all monies due and owing plus 9% interest and costs from sports memorabilia company: Peyton Manning v. Triumph Sports & Memorabilia Inc. (Fall 2003).
  • Represent sports marketing company in dispute over memorabilia signed by Walter Peyton prior to his unfortunate premature death.
  • Successfully negotiated a resolution to dispute involving Evander Holyfield boxing gloves.
  • Successfully defended an eight day jury trial in the Supreme Court of the State of New York, County of New York, on behalf of art graduate school relating to the loss, destruction and wrongful copying of valuable sculptures and other pieces of fine art: Stuart Pivar v. The Graduate School of Art for the New York Academy of Art (Winter 2002).
  • Successfully dismissed litigation brought by promoter against hip-hop band and its artists: In Re: Total (2002).
  • Successfully resolved dispute over videotaping of celebrity wedding: Michael Douglas & Catherine Zeta Jones v. Martinez (Winter 2002).
  • Represented major boxing promoter in litigation over promotion revenues earned by Ike Quartey, former WBA welterweight champion of the world: Main Events Promotions v. AB Stars Boxing Promotions (2001).
  • Represented largest United States private sports silent auction house in litigation over authenticity of the first trophy baseball: Forester v. Robert Edwards Auctions (Summer 2002).
  • Represented sports memorabilia company in contractual dispute over, among other things, marketing and producing baseball card shows.
  • Successfully tried matter before a jury in the New York State Supreme Court involving rap artist P. Diddy (f/k/a Puff Daddy) and “Shine,” his bodyguard: Steinmetz v. “Shyne” and Reebok Sports Center, Inc. Fall 2002).
  • Represented National Football League in dispute over production rights and marketing of Tae Kwan Do tournament: NFL Films, Inc. v. Shin Production.
  • Represented major movie production company in litigation involving the film “Turk 182.”: Cegana v. Twentieth Century Fox Film Corp.
  • Represented major movie production company in dispute over the rights to profits from all creative works that evolved from the movie “Mash,” including “Trapper John, M.D.,” “After Mash” and related works: Preminger v. Twentieth Century Fox Film Corp.
  • Victorious on a motion to dismiss claim brought by recording studio against movie/ Broadway production company: Unplugged Management Group v. The Lion King Production Company.
  • Represented major record label in successfully dismissing action by independent record label: Humphrey Music v. Warner Bros. Records Inc.
  • Represented film production company in connection with real estate dispute: Tribeca Restoration v. Big Dog Films.
  • Represented record production company in real estate litigation: Cohen v. Tin Pan Apple Records.

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Employment Representations:

  • Represent employers/employees in connection with the employees joining the employer. Such representation has included senior officers, directors and shareholders of both public and private companies.
  • Representation of employers and employees relating to the departure of the employees. Such representation includes negotiating and/or litigating over severance packages, golden parachutes, repayment of loans and a variety of post employment related issues.
  • Litigation of both sides of hundreds of post-employment related issues, including covenants not to compete, non-solicitation agreements, post-employment consulting agreements, finding agreements, misappropriation of alleged confidential materials, trade secrets, unfair competition and raiding issues.
  • Litigation of post employment emergency relief issues in connection with seeking an opposing temporary restraining orders, preliminary injunctions, permanent injunctions and gathering evidence and proving issues in order to obtain/oppose said relief.
  • Representation of both employees and companies in cases involving age, sex, pregnancy, racial, and ethnic discrimination before the federal and state courts in New York. Said representations include prosecuting and defending claims before the EOCC through trial or arbitration of the action.

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Enforcement:

  • Representation of registered representatives, principals, compliance personnel, branch office managers, control persons and officers and directors in connection with audits, inquiries, investigations, enforcement hearings, appeals settlements and Acceptance, Waiver and Consents of the SEC and FINRA.
  • Representation of individuals, partnerships and corporations under investigation by the SEC in connection with various alleged violations of the Securities Exchange Acts of 1933 and 1934.

 

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