icon on Securities
Experience
Dismissal Obtained in Securities Lawsuit
Represented a financial services firm in multiple arbitrations before the Financial Industry Regulatory Authority (FINRA) against former employees, successfully obtaining awards on loans provided to the employees by the firm.
Lead Counsel for Kmart in Securities Fraud Cases
Lead counsel for Kmart in the successful defense of consolidated 10b-5 securities fraud cases, which ultimately settled for nuisance value.