James currently represents financial institutions, broker-dealers, executives and individual advisors in federal and state litigation, arbitration, regulatory proceedings and investigations. He has extensive experience pertaining to investigations, due diligence and compliance matters. He regularly counsels financial institutions and individual advisors on raiding, recruiting and transition matters, including compliance with restrictive covenants and the Protocol for Broker Recruiting.
James has represented board members, managing directors and executives of leading Fortune 500 firms in the highly regulated financial services, investment advisory and healthcare industries concerning change of employment, compensation, severance negotiations, investigations and other employment-related issues.
James represents corporations and individuals charged with federal and state crimes and shareholder allegations of wrongdoing, focusing on securities and financial related matters, including securities and wire/mail fraud, conversion of client assets, breach of fiduciary duty, insider trading, and money laundering, among others. James draws on his investigative experience to assist in pre-litigation strategy, investigations and strategic defenses concerning corporate, employee conduct, and other sensitive corporate matters that could materially affect a client’s business.
In the white collar practice area, James has represented clients or participated in the following:
- Successful defense of one the largest securities and wire fraud indictments of the President and CEO of private financial services firm brought by the Westchester District Attorney’s Office, New York
- Successful appeal of a federal conviction of a New York City Police Officer for civil rights violations in the Eastern District of New York
- Successful defense of an individual financial services representative in a multi-defendant indictment for insider trading and tax evasion in the Southern District of New York
- Defense of RICO and money laundering offenses against an international customs broker in the Southern District of New York
- Defense of money laundering and financial disclosure violations of financial service professionals in the Eastern District of New York
Prior to attending law school, James served as a Special Agent for the United States and was responsible for conducting international money laundering and narcotics investigations. His duties included criminal, enforcement and regulatory investigations, as well as assisting various U.S. Attorney Offices in trial preparation. After September 11, 2001, he transferred to the newly created Department of Homeland Security in a counter-terrorism capacity.
As published annually, James was selected to New Jersey Super Lawyers Rising Stars list from 2012 to 2015, and selected to New York Metro Super Lawyers Rising Stars list, 2016 to present.
Immediately prior to joining Barton LLP, James was with Stevens & Lee.