Managing Partner

Roger E. Barton

212.885.8816 rbarton@bartonesq.com
Managing Partner

Roger E. Barton

212.885.8816 rbarton@bartonesq.com
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Roger E. Barton is the Managing Partner of Barton LLP. He applies his management expertise and over 30 years of experience to leading a firm that is dedicated to providing its clients with quality and results through a practical and business-minded approach.

Roger is an accomplished litigator with an international reputation for achieving outstanding results for his clients. He has been rated by The American Lawyer, Corporate Counsel Magazine and the National Law Journal as one of the Top Commercial Litigators in the United States and has an “AV Preeminent” peer review rating in Martindale, the highest rating in the legal profession for professional excellence and ethical standards. He is a Fellow of the Litigation Counsel of America, the invitation-only trial lawyer honorary society limited to less than one-half of one percent of lawyers in America. He has also consistently been selected as a Super Lawyer in Thompson Reuters’ annual survey of the top 5% of lawyers in the New York Metro Area, 2013 to present.

Roger has tried numerous bench and jury cases to conclusion in the U.S. Federal District Courts, U.S. Tax Court and in state courts across the county. He has argued Federal appeals in the Second and Third Circuits and at the state level. He is also an experienced practitioner in the various forms of ADR including mediation and arbitration both domestically and internationally as well as the enforcement and appeal of international arbitration awards.

Roger’s clients range from large corporate and financial institutions to privately held businesses and senior executives. He routinely litigates cases involving failed financial transactions, breach of contract, fraud, shareholder and partner disputes, investor actions, broker-dealer and FINRA matters, employment, including non-compete and non-solicit actions, and senior executive compensation.

Roger combines his substantive expertise as a litigator with his practical business skills. He views each case as an opportunity to partner with his client in early case assessments, analyzing business goals and developing strategy and budgeting to achieve a disposition consistent with the desired business result. He is frequently asked to lead seminars across the country for in-house counsel audiences on the topic of managing litigation as a business.

In conjunction with the Firm’s corporate attorneys, Roger counsels domestic and foreign financial institutions, emerging growth companies, foreign startups, hedge funds, private equity funds, venture capital funds and privately held corporations in connection with corporate governance, mergers, acquisitions, corporate finance, restructurings, joint ventures and international alliances.

Prior to Barton, Roger was with Sidley Austin in New York.

Roger E Barton - SuperLawyers

AV Rating 2019

LCA Fellow

Practices
Industry Experience
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Commercial Litigation
  • Counsel to World’s Third Largest Distributor of Smart Technologies
    • SMART Technologies ULC v. Electroboard Solutions Pty Ltd. and Electroboard Solutions (NZ) Ltd. – International arbitration governed by Alberta Law and conducted in Canada under the rules of the International Centre for Dispute Resolution. Acted as lead counsel to the world’s third largest distributor of Smart Technologies products, ELB of Australia, who retained our firm after prior counsel lost a motion for summary judgment resulting in an adverse award against ELB in excess of $4 million plus attorneys’ fees and interest. Successfully moved for leave to amend answer and add counter-claims and thereafter conducted a five-day hearing. Guided by his prior summary judgment ruling, the arbitrator found against ELB and awarded further costs and interest to claimant.  Brought an appeal before a three-member tribunal, who conducted a day of oral argument and reviewed the entire record de novo. The tribunal determined that based on the testimony and documentary evidence adduced at the original hearing, Smart Technologies breached its duty of honest performance to ELB under Alberta law. The tribunal entirely voided the prior arbitration award and issued a new award in favor of ELB that denied all Smart Technologies’ claims and awarded ELB with remedies and financial damages in excess of $5 million including all attorneys’ fees plus interest on the award at 18%.
  • Counsel to a Top Third-Party Hedge Fund Marketing Firm
    • Stonehaven, LLC v. Seer Capital Management, LP – Lead counsel in a FINRA arbitration conducted in New York before a three-member panel. Represented Stonehaven LLC who is consistently rated by Hedge Fund Magazine as one of the top Third-Party Marketing firms for the hedge fund industry. Following seven days of testimony the panel awarded pre-hearing damages in excess of $4 million to Stonehaven with a further award of specific performance entitling Stonehaven to on-going payments. The primary claim was for breach of contract against Seer, a large hedge fund, for failure to properly account for and pay fees on over $1.5 billion dollars raised by Stonehaven.
  • Defended Broker-Dealer in FINRA Investigation and 2-Year Litigation
    • Kaminsky v. Sutherland, Asbill and Brennan LLP, et al. – Acted as lead counsel on behalf of a registered representative of a broker dealer acting for a new hedge fund formed by former principals of SAC Capital. Client became the subject of a FINRA investigation and had his employment terminated as a result of actions taken after receiving advice and counsel by defendant law firm. Suit was brought in state court in Atlanta, Georgia. Case was litigated for over two years which included a successful defense of a motion to dismiss, full discovery with multiple party and expert depositions, and a successful defense of a summary judgment motion. Case was then settled pre-trial under confidential terms.
  • Represented Client in Suit Against One of the Largest Private Landlords in U.S.
    • Dune, Inc. v. Hartz Mountain Industries, Inc., Harrison Riverside Limited Partnership, and 700-760 First Street, LLC – Lead counsel on behalf of furniture designer and manufacturer in a seventeen-day trial in New Jersey Chancery Court. As a result of Superstorm Sandy, Dune’s manufacturing and warehouse facility was flooded and rendered unfit for use. Dune preemptively sued one of the largest private landlords in the U.S. for damages and declaratory judgment asserting among other claims a violation of New Jersey’s consumer fraud statue. Landlord counter-sued for over $5 million in rent and other damages. Case settled favorably during trial under confidential terms.
  • Counsel to Former Fortune 500 President in Multimillion-dollar Claim
    • Snyder v. Ply Gem Industries, Inc. and Nortek, Inc. – Represented former Fortune 500 President as lead counsel in multimillion- dollar claim for unpaid deferred compensation following takeover by Nortek Industries (NTK). Following eight days of trial in the United States District Court of Rhode Island, case settled favorably under confidential terms.
  • Led NY Hedge Fund in Recovery of Multimillion-dollar Break-up Fee
    • FCS Advisors, Inc. v. Fair Finance Company, Inc. – Lead counsel to significant New York hedge fund in claim against Ohio- based finance company for breach of contract to recover multimillion-dollar break-up fee under exclusive finance agreement. Successfully won summary judgment after limited discovery in the U.S. District Court and defeated an appeal in the Second Circuit Court of Appeals.
  • Obtained Successful Dismissal of Securities Class Action Suit
    • In Re Akari Therapeutics PLC Securities Litigation – Lead counsel to UK-based investment research and investor relations firm. Obtained successful dismissal of securities class action suit brought in the U.S. District Court relying on the publisher’s exemption for 10-b-5 securities claims.
  • Successfully Resolved Suit Brought Against Insurance Agent and Brokerage
    • Krauter & Co. v. Ross and Alwex, Inc. –  Lead counsel in suit brought against insurance agent and brokerage for violation of non-solicitation and confidentiality agreements, theft of trade secrets, and tortious interference with business. Counter-claims included violations of the Computer Fraud and Abuse Act. Successfully resolved the dispute pre-discovery.
  • Represented Second Largest Korean Asset Manager
    • Hwang v. Mirae Asset Securities (USA) Inc., et al.— Led team to represent second largest Korean asset manager in both the New York Supreme Court and Appellate Division, First Department in the successful dismissal of a multimillion-dollar breach of contract claim.