White Collar Defense

Represented an investment advisor against 10b-5 security fraud claims, prevailing on a motion to dismiss in the Eastern District of Pennsylvania and then successfully arguing on appeal to the Third Circuit which affirmed the District Court’s opinion.

Represented a whistleblower providing information on securities-related violations to the SEC, IRS, and DOJ programs. Has represented numerous other whistleblowers, including those filing complaints in pursuit of the Whistleblower Bounty Program.

Defense of securities fraud, common-law fraud, and breach of fiduciary duty before New Jersey Superior Court.

Defended alleged co-conspirator financier and agent for main defendant in an ongoing securities and wire fraud investigation/prosecution concerning investment pools and securities for commercial industrial vehicle components.

Defense of potential litigant in an ongoing Texas State court litigation alleging securities fraud in the sale of shares of mining equipment.

Successful defense of one of the largest securities and wire fraud indictments of the President and CEO of a private financial services firm brought by the Westchester District Attorney’s Office, New York.

Represented a former advisor of a regional investor services company against an NY state claim that they had misappropriated confidential client information and trade secrets. Moved to dismiss the case based on lack of jurisdiction, which was successfully granted by the court.

Successfully defended against the issuance of a Temporary Restraining Order and Preliminary Injunction claiming the misappropriation of confidential client information and breach of contract in New Jersey State Court against an advisor who departed from Edward Jones LLP and joined a competitor.

Represented a Tennessee-based Registered Investment Advisor (RIA) in a suit against former owners and employees regarding misappropriated trade secrets, confidential information retention, and unlawful competition. Subsequently filed arbitrations and successfully settled without the need for litigation.

Partnered with major international law firm as essential team member in a high-stakes and high-profile trial defending a hedge fund and its principal against breach of contract accusations brought by former employees, and asserting counterclaims for breach of fiduciary duty and defamation. Duties encompassed witness preparation, examination drafting, supervision of junior attorneys, drafting of critical motions and applications, involvement in oral arguments, and regular communication with opposing counsel and the trial judge.

Successfully represented an RIA that had jumped from Edward Jones to Thurston Springer Financial and was accused of soliciting former clients in violation of his employment agreement. Secured a rejection of Edward Jones' motion for a temporary restraining order and preliminary injunction. (Edward Jones v. John Kerr and Thurston Springer Financial (Southern District of Indiana 1:19-cv-03810))

Represented a broker who moved from Edward Jones to Ameriprise Financial who was facing breach of contract, misappropriation of trade secrets, and breach of fiduciary duty claims. Successfully secured a denial and dismissal of Edward Jones' request for a temporary restraining order. (Edward Jones v. James Paul Farrell (Superior Court of New Jersey, Bergen County C-116-1))

Represented a broker who moved from Edward Jones to Ameriprise Financial who was facing breach of contract and trade secret claims. Successfully argued a counterclaim of unfair competition, civil conspiracy, and tortious interference, with the panel awarding our client and Ameriprise a total of $762,000. (Edward Jones v. Peterson and Ameriprise Financial Services, Inc. (FINRA #19-03340))

Member of team advising large private employer on employment issues related to multi-jurisdictional fraud investigation.

Represented a biopharma executive in related civil and criminal federal litigation involving allegations of conspiracy, securities fraud, wire fraud and insider trading.