Arbitration

Represent broker-dealers in connection with CFP Board inquiries arising out of industry disputes with former employers for breach of restrictive covenants and trade secret misappropriation claims in FINRA arbitration proceedings.

Represent non-party, non-FINRA members in connection with third-party subpoenas issued by FINRA panels under the Federal Arbitration Act.

Successfully won an arbitration, defeated unfair labor practice charge before the NLRB, and won the dismissal of an Article 78 proceeding in N.Y. Supreme Court following the termination of a resident superintendent for a property management company.

Has represented RIAs in 23 different jurisdictions (including in AAA and FINRA arbitrations) regarding SEC compliance, customer complaints, and employment related matters. In an effort to proactively prevent expensive litigation, our team has developed recruiting, transition, and practice protection strategies on behalf of RIAs concerned about legal issues. We regularly represent registered investment advisors and advisory firms in advisor transitions, having assisted in approximately 775 advisor transitions in the last 15 years.

Has represented numerous broker-dealers in all aspects of compliance related matters in FINRA. Represents advisors, partnerships, and teams during transitions between competitors (both the recruitment and pursuit of) in order to ensure regulatory compliance and prevent breach of contracts or law. Has applied for court intervention, temporary restraint, and preliminary injunctions to prevent out-going advisors/talent from unfairly competing against their former employers. Our team utilizes litigation, arbitration, and dispute resolution when breaches do occur.

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.

Represented Korean securities firms in FINRA arbitration against a former executive and a simultaneous state court lawsuit brought by the former executive. Successfully appealed and obtained reversal of the trial court’s denial of our motion to compel arbitration, ending the court litigation and forcing the former executive to submit to a more favorable FINRA arbitral forum.

Represented an Australian distributor of communications/collaboration technology in arbitration of breach of contract claims brought by a Canadian technology company. The arbitration was governed by Canadian law, and venued in Canada. The client fired its original counsel and engaged Barton after the arbitrator had already dismissed most of its counterclaims. Randall and the Barton team successfully challenged the negative rulings under rarely used arbitration appellate rules, winning reversal from an appellate arbitration panel as well as a multi-million-dollar damages award, plus legal fees.

Represented a third-party capital placement agent in FINRA arbitration against a former client fund manager to recover placement fees. In conjunction with other members of the Barton team, Randall obtained a multi-million-dollar award for the client after a five-day arbitration hearing.

Represented various Italian fashion companies in trademark and copyright infringement and contract disputes in the United States. Obtained favorable settlement of our client’s trademark infringement claims against a U.S. competitor and negotiated a co-existence agreement regarding ongoing use of the companies’ respective trademarks and trade dress. Successfully defended a high-profile Italian designer fashion company against contract claims by a former U.S. distributor, obtaining stay of the distributor’s lawsuit in favor of arbitration, and then obtaining dismissal of the distributor’s claims in arbitration. Successfully sued on behalf of an Italian lingerie company for payments owed by a U.S. distributor; won summary judgment awarding damages, without a trial.

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))

Won a complicated motion to compel arbitration which the plaintiff sought to overturn by Petition for Writ of Mandate in the Court of Appeal. After we filed Preliminary Opposition, the California Court of Appeal summarily denied the Writ. The Plaintiff then filed a Petition for Review by the California Supreme Court, and Barton filed an Answer to the Petition for Review. The Supreme Court denied the Petition for Review by Order (Darcom v. Black Knight Origination Technologies, Inc.).

Successfully resolved $11.5 million dispute over the purchase price of a five building 350 unit apartment complex through mediation and binding arbitration between client, one of nation’s largest pension funds, and leading real estate developer/manager.

Won award of specific performance regarding option to buy oil producing property and leases in downtown Los Angeles following arbitration hearing.

Represented the bankruptcy estate of a large financial institution in ADR proceedings seeking
indemnification for loan originators’ breaches of representations and warranties on collateral underlying certain mortgage-backed securities.

Represented a Fortune 50 insurer in state court actions and arbitrations seeking reinsurance payments from the reinsurer.

Represented a Latin American joint venture in two ICC arbitrations regarding a construction dispute in an EPC contract related to a hydroelectric power plant project.

Represented a French multinational pharmaceutical company in an ICDR arbitration of a post M&A dispute.

Represented a biomass plant owner in a AAA construction dispute brought by its EPC contractor and in a JAMS mediation involving a long-term supply contract claim brought by a UK-based purchaser.

Defended a West African sovereign in federal enforcement proceedings of an arbitral award.