Attorneys at Law

Practice Area

Litigation and Dispute Resolution

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Work In This Area

Banking Litigation

Barton litigators represent major banks, financial institutions and institutional clients in litigation, loan work-out and bankruptcy matters involving lending practices, lender liability claims, lines of credit, guaranties, sales of operational units, operational errors, check cashing, wire transfer, violations of state and federal statutes, Uniform Commercial Code and US Title 12.

Our Banking Litigation experience includes:
General New York litigation counsel to nation’s largest independent trust company for self-directed IRAs. Successfully obtained dismissal on behalf of trust in numerous litigations in which the trust had been sued involving retirement accounts also represent the trust in a pending plaintiff’s matter.

Represented remaining members of lending group, including a distressed debt fund, a in an adversarial transaction arising out of the sale of a participation in $50 million loan facility in violation of loan agreements. Litigation was pursued parallel to negotiated transaction. As a result, successfully obtained substantial premium in the sale of distressed debt to a venture capital fund holding the majority stake in the debtor.

Represented institutional clients in bank liability action against large international bank and acquired regional bank involving check cashing and wire transfer issues governed by The Uniform Commercial Code.

Representation of debtor in Chapter 11 bankruptcy to one of Connecticut’s largest real estate brokerage firms. Bankruptcy litigation involved successful defense of adversary proceedings alleging fraud and seeking conversion and liquidation. Representation of leading oil and gas concern in multi-million dollar eminent domain litigation.

Representation of shopping center in bankruptcy proceeding of major supermarket chain tenant in which tenant renounced its previously announced intention to repudiate the lease and reaffirmed lease under pre-bankruptcy terms.

Representation of class defendants in bankruptcy proceedings arising from elaborate Real Estate Investment Trust Ponzi scheme. Defendants were sued to recover excessive “finder’s fees” paid from insolvent limited partnerships as compensation to limited partnership shareholders introducing additional limited partnership shareholders.

Broker-Dealer, Corporate, Shareholder and Complex Financial Product Disputes

Barton regularly counsels shareholders, directors and management on a wide range of business and corporate governance issues arising under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company and Investment Advisers Acts of 1940, and related federal and state laws including but not limited to disputes related to compliance, e-commerce, product distribution, clearing brokerage, broker dealer issues, anti-money laundering, Sarbanes-Oxley, privacy issues, electronic trading systems and securities.

In addition, Barton litigators have handled special investigations on behalf of management to investigate suspected wrongdoing, to assist officers and directors in fulfilling their fiduciary duties, to address threatened or pending litigation, and to contend with government or agency investigations. Our services extend to the development of internal compliance programs to assist corporations in conducting their business in a manner consistent with ethical and legal standards.

Barton litigators also have represented both dealers and end-users in connection with disputes relating to a variety of financial products involving financial instruments, including foreign currencies, US and foreign government securities, and US and foreign stock indices, as well as traditional agricultural, energy and physical commodities. We have represented clients in claims involving accounting misstatements, insider trading, manipulations, and other instances of alleged fraudulent activity, before the Commodities Futures Trading Commission (CFTC) and Securities and Exchange Commission, as well as self-regulatory agencies such as the National Association of Securities Dealers (NASD) and New York Stock Exchange (NYSE).

Our Broker-Dealer, Corporate, Shareholder and Complex Financial Product Disputes Litigation experience includes:
Representation of world’s largest commodities trading corporation in commercial and bankruptcy litigation matters throughout the United States, including (a) litigation of all contested assigned receivables in supply chain of bankrupt alloys manufacturer, (b) successful defense of significant preference actions in bankruptcies of steel foundries, (c) commercial arbitration of several shipping and general commercial disputes.

Procured large settlement in mediation through ADR for group of high net worth shareholders in closely held company that issued Rule 144 stock with restrictive shareholder legend. Lawsuit involved collusion among chairman, inside board members and officers and corporate counsel to issue opinion letters to facilitate their stock sales while denying outside shareholders the ability to consummate their stock sales. Settlement procured without the need to conduct a single deposition.

Investigated worldwide derivative trading practices of New York mercantile bank representing special counsel appointed by CFTC, SEC, New York State Banking Department and Federal Reserve. Investigation included review of electronic and other documents, trading tapes, analysis of trades on a desk by desk basis with forensic derivative specialists, development of forensic evidence and bank wide depositions from back office to CEO’s office for preparation of report to regulatory authorities.

Successfully defended group of former corporate officers and directors against claims of violations of federal securities laws and state law claims of self-dealing and violations of fiduciary duty to shareholders in the United States District Court for the District of New Jersey.

Successfully settled liability in representation of former director in a complex securities litigation involving major Louisiana Competitive Local Exchange (or CLEC) in the Court of Chancery of the State of Delaware.

Business Fraud

Barton litigators represent clients in federal and state criminal, civil and administrative proceedings and litigation, as well as in legislative investigations involving antitrust, commodities and securities fraud, government contracting (including defense), embezzlement, banking, mail and wire fraud, taxes, money laundering and asset forfeiture. In addition, we maintain extensive relationships with forensic accounting and auditing firms of varying size and sophistication and conduct internal audits and investigations, as well as assist clients formulate and implement compliance programs, manuals and ethics codes.

Our Business Fraud Litigation experience includes:
Successful plaintiff’s counsel filed in Commercial Division of Pennsylvania State Court on behalf of three closely-held real estate companies against managing officer alleging fraud, corporate waste and other malfeasance, in multi-million dollar suit. Case settled without additional litigation. Representing group of nineteen closely-held affiliate companies in lawsuit against two accounting firms and former CFO arising from the misappropriation of millions of dollars of working capital. Allegations of embezzlement, theft, misappropriation by CFO resulted in preliminary order of attachment against CFO. Representing consortium of real estate development and management companies in litigation against two banks arising from controller’s embezzlement. Cross-motions for summary judgment are pending in commercial division of New York state court.

General Commercial Litigation

Barton litigators represent clients in federal and state criminal, civil and administrative proceedings and litigation, as well as in legislative investigations involving antitrust, commodities and securities fraud, government contracting (including defense), embezzlement, banking, mail and wire fraud, taxes, money laundering and asset forfeiture. In addition, we maintain extensive relationships with forensic accounting and auditing firms of varying size and sophistication and conduct internal audits and investigations, as well as assist clients formulate and implement compliance programs, manuals and ethics codes.

Our General Commercial Litigation includes:
Representation of national defense contractor in several matters including (a) federal administrative proceedings where outcome was successful restoration of eligible status for contract bidding preference with the federal government, and (b) litigation of insurance coverage dispute in which the New York Court of Appeals decided in favor of our client resolving a long-standing conflict within the New York Appellate Divisions over statutory interpretation.

Obtained dismissal of unfair trade practices and trademark infringement suit brought by publicly-traded company that purchased the right to use a household name-brand product in non-consumer markets from our client (also a publicly-traded company). Although the company faced substantial exposure, the dismissal was accomplished without the need for costly discovery and, ultimately, without the payment of money.

Successfully defended Fortune 50 telephone service provider holding company and two subsidiaries in litigation venued in commercial division of New York state court brought by supplier of customer premises equipment. Holding company and telephone subsidiary dismissed on motion to dismiss for lack of personal jurisdiction. Remaining subsidiary discontinued operations and, ultimately, settled for business reasons at de minimus cost. Successfully litigated and managed related antitrust regulatory aspects for Puerto Rican rum producer related to the supply of leading rum brand to world’s largest liquor distribution company.

Successfully defended chemical manufacturer in toxic tort litigation, which included depositions of government repositories to show the nonexistence of proof needed to prove claim and obtained dismissal for lack of evidence.

Successful defense of large insurance company in context of Multi-district litigation class action, related and state actions, and federal and state regulatory investigations; Successful defense of New Jersey company in federal commercial litigation involving license agreement with multinational telecommunications equipment manufacturer. Client was sued for trademark infringement and Lanham Act and ultimately obtained, on the eve of trial, a letter of apology and substantial settlement on its countersuit for breach of license agreement and defamation.

Prosecution of copyright and trademark infringement claims on behalf of recording artist against record labels, internet distributors and individuals who released or attempted to release recordings. Suits alleged trademark infringement for use of logo and name and state law claims for right of publicity, improper use of name and likeness and were successfully settled.

Obtained discontinuance of privacy tort lawsuit filed against a pharmaceutical client arising from allegations that client was harvesting personal information about visitors to the client’s web site. Discontinued after pleadings stage by demonstrating to plaintiffs that none of the alleged wrongdoing was actually improper. Successful representation of laser manufacturer for national security agencies in defense of multi-district patent litigation. Coordinated defense strategy with California counsel.

Employment and Executive Compensation Litigation

Barton litigators counsel both employers and Fortune 500 executives. We help clients avoid litigation by developing appropriate hiring, employment and termination procedures, negotiating resolution of workplace disputes prior to the commencement of litigation, and conducting workplace investigations. Barton works with clients to prepare employee handbooks, employment contracts, consulting contracts, confidentiality agreements and separation agreements; appropriate policies concerning equal employment opportunity, prevention of sexual harassment, payment of bonus compensation, accommodation of disabilities, requests for job references, and drug testing of employees; and procedures to protect trade secrets. Barton has litigated all types of employment claims, including those concerning alleged discrimination, breach of employment contracts, bonus disputes, “raiding” and non-compete issues, improper use of trade secrets and confidential information, employment-related defamation, sexual harassment and retaliatory conduct, and employee theft and embezzlement.

Our Employment and Executive Compensation Litigation includes:
Directed verdict obtained after 5 days of trial in United States District Court Rhode Island in favor of our client, former President and COO of Fortune 500 company in multi-million dollar dispute over executive compensation following takeover of company in competitive bid by another Fortune 500 Company.

Favorable settlement of case in United States District Court New York through court ordered ADR on behalf of Fortune 500 E.V.P. in an executive compensation dispute arising out of a merger.

Engineering, Contracting, Construction and Property Disputes
Barton lawyers regularly represent clients in purchase and sales disputes, construction claims, high-stakes landlord-tenant issues, property appraisals, arbitrations, brokerage commission, co-op and condominium disputes and condemnation proceedings. We also represent engineering and contracting firms and developers in New York, New Jersey and Connecticut. Barton lawyers have litigated cases ranging from a straightforward mechanics’ lien and payment disputes to highly complex matters involving major construction and engineering projects.

Our Engineering, Contracting, Construction and Property Disputes includes:
Successfully represented client in various litigations and arbitrations concerning valuation of commercial real estate and commercial landlord-tenant disputes. Successful representation of national waste hauling company in condemnation action in which client received substantial premium. Representation of large New York City-based commercial contractor in sub-contract disputes involving public works projects throughout New York City. Representation of major commercial and high-end residential contractors in New York, New Jersey and Connecticut in multi-million dollar project disputes and contract matters. Representation of large iron fabrication manufacturer and supplier in disputes over supply of iron for bridges, tunnels, public works and, most notably, Olympic Facility in Lake Placid, New York. Successful litigation of major contract dispute on behalf of commercial land developer in Westchester County specializing in large multi-unit corporate office buildings and headquarters. Successfully represented New York metropolitan area marina in landlord-tenant matter involving self-help repossession of marina property. Landlord regained possession of premises, removed tenants’ equipment and personal property, and defeated ensuing action for preliminary injunction and damages.

International Litigation

Barton litigators represent international clients in complex commercial disputes before US federal and state courts, domestic and foreign arbitration tribunals and regulatory agencies in the US We counsel foreign clients on the jurisdictional reach of US courts, the application abroad of US civil and criminal laws, the application of US federal and state discovery procedures to international disputes, settlement strategies, alternative dispute resolution mechanisms, and enforceability of US judgments in foreign jurisdictions and of foreign judgments in the US Barton maintains relationships with foreign counsel worldwide to pursue coordinated strategies for international clients. Barton litigators defend foreign corporations, financial institutions, investment firms and individuals in complex commercial and civil litigation as well as investigation by federal and state authorities and administrative agencies.

Our International Litigation includes:
Representation of a consortium of foreign airline carriers in ongoing dispute over entitlement to tax allocation reimbursement claims.

Represented the North American division of France’s second largest bank in a controversy arising out of a US consulting arrangement. Case settled in early stages with near total success for our client.

Successfully defended largest privately-held Canadian hotel amenities manufacturer in international arbitration venued in New York. Litigation arose from contract for a consulting relationship with former consumer products executive who asserted percentages of fees earned on contracts where he purportedly made introductions and/or provided information materially beneficial to sales contracts. Case settled pre-arbitration for de minimus amount.

Successfully obtained remand of litigation against US infringer before the United States Second Circuit that Swiss jewelry designer had protectible trademark in twisted wire jewelry. Second Circuit issued unanimous ruling within one month of argument and remanded case to district court for trial.

Represented state insurance commissioner in state common law claims against former directors and officers, national auditing firms and trust bank of defunct Canadian insurance company in largest insurance insolvency in North American history. Coordinated recovery in parallel Canadian proceeding with Canadian counsel, Canadian liquidator and trustee of Canadian trust subsidiary.

Represent Italian yarn manufacturer in various commercial disputes with US clients. Successfully prosecuted a patent infringement case on behalf of an Asian sporting goods manufacturer against a US distributor.