Representative Matters

  • Recently served as General Counsel for healthcare company and took it from incorporation through multi-million dollar seed capital financing.
  • Recently served as General Counsel for a mobile app development company and took it through a seven figure seed capital initial financing.
  • Incorporated and took present leading Biotech corporation through private placement rounds and $100 million initial public offering.
  • Represented New York Stock Exchange Member Firm as underwriter of initial public offering for healthcare industry company.
  • Served as outside general counsel to New York Stock Exchange Member Firm.
  • Represented customers of major brokerage firm and obtained $2.5 million FINRA arbitration award.
  • Represented customer of major brokerage firm and obtained $1 million FINRA arbitration award.
  • Represented customers in FINRA arbitrations against FINRA member firms and obtained substantial cash settlement payments totaling over ten million dollars.
  • Recently represented a public company in federal trial of multi-million dollar claims against and by a major international bank; defeated the bank’s claim.
  • Represented a brokerage firm officer in resolving an SEC investigation.
  • Represented a hedge fund in a private placement of funds.
  • Represented a retiring owner in the sale of his interest in a printing company and buyout of his employment agreement.
  • Settled claims against a hedge fund manager on behalf of a client of the fund manager for a six figure amount.
  • Advised angel investors in private placements in start-up technology and biotechnology companies.
  • Litigated claims against a client’s former investment adviser and accountant to substantial settlement.
  • Represented investor in fraud claims against former investment adviser and obtained $12 million federal judgment against former financial adviser.

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Education & Admissions

List of education, bar admissions, affilliations, memberships, etc.