• Mutual Fund and Financial Services

    • Representing Calamos Advisors and Calamos Financial Services in Section 36(b) litigation challenging advisory and distribution fees for the complex’s largest mutual fund.
    • Representing Prudential Investment in Section 36(b) litigation challenging advisory fees for five mutual funds.
    • Representing Security Investors, LLC, in Section 36(b) litigation challenging advisory fees for a closed-end fund.
    • Representing Harbor International Fund in Section 36(b) litigation challenging advisory fees for three mutual funds.
    • Representing the independent trustees of several mutual fund complexes in Section 36(b) litigation.
    • Representing one of the world’s largest mutual funds and its independent trustees in a breach of fiduciary duty class action brought by investors in the mutual fund.
    • Representing Oppenheimer Funds and Oppenheimer Acquisition Corp. in more than a dozen class action and individual lawsuits brought in several courts arising out the Madoff Ponzi scheme.
    • Representing the investment adviser, distributor and key officers of the Rydex Series Funds in a Section 11 class action brought by investors in an inverse mutual fund.
    • Representing Oppenheimer Funds Distributors, Inc. and several related entities/persons in a derivative action brought on behalf of two mutual funds that challenge the 12b-1 payments made to broker-dealers.
    • Representing a family of mutual funds for one of the world’s largest money managers in a multi-billion dollar Commodity Exchange Act class action arising out of the alleged manipulation of the U.S. Treasury futures market.
    • Representing two mutual funds of one of the largest investment management companies in the U.S. in a precedent-setting Sarbanes-Oxley whistle-blowing matter before an administrative law judge.
    • Representing a long-short hedge fund in a state law RICO action alleging an improper short-selling scheme.

    Life Sciences Litigation

    • Representing a French-based pharmaceutical company in expedited Delaware Chancery Court proceedings arising out claims of tortious interference and misappropriation of trade secrets.
    • Representing Boehringer Ingelheim Pharmaceuticals in an arbitration arising out of a billion-dollar co-promotion agreement.
    • Representing Baxter Healthcare Corp. in several arbitration proceedings arising out of joint ventures for the commercialization of biological products.

    Securities and Complex Commercial Litigation

    • Representing venture capital entrepreneur and investors in a series of federal and state court lawsuits arising out of private equity investment in a technology company.
    • Representing international creditors of a Lehman affiliate in a US$100 million bankruptcy adversary proceeding.
    • Representing the investment arm of a foreign government in bankruptcy litigation in connection with its purchase of real estate assets for US$1.5 billion.
    • Representing one of New York’s largest commercial real estate developers in a series of complex litigation matters arising out of several transactions for the purchase of skilled nursing facilities.
    • Representing the former controller of AIG in various direct and derivative securities fraud actions.
    • Steiner v. MedQuist, Inc., Civil Action No. 04-5487 (D.N.J.). Represented a former CEO in Section 10(b)/Rule 10b-5 class action.
    • In re IPO Securities Litigation, 21 MC 92 (S.D.N.Y.). Represented four issuers in Sec. 11 and Sec. 10(b)/Rule 10b-5 consolidated class action arising out of an IPO allocation process.
    • Ball, et al. v. Golf Host Resorts, Inc., Case No. 99-7532-CI-15 (Fla. Cty. Ct.). Represented the issuer of an alleged investment contract.
    • Ball v. Starwood Capital Group, L.L.C., et al., Case No. 01-8582-CI-15 (Fla. Cty. Ct.). Represented corporate and individual defendants in a veil piercing action arising out of an alleged breach of investment contract.
    • Raintree Resorts International, Inc. v. Starwood Hotels & Resorts Worldwide Inc., et al., No. H-02-3878 (D. Tex.). Represented equity investor Starwood Capital Group and several of its principals (including Barry Sternlicht) in a breach of fiduciary duty/tortious interference action.
    • H.I.G. Capital, L.L.C. v. Vestcom International, Inc., et al., Docket No. C-249-02 (N.J. Ch. Div.). Represented the successful bidder for a publicly traded company.
    • Olkey v. Hyperion 1999 Term Trust, Inc., 98 F.3d 2 (2d Cir. 1996). Represented the issuer, a closed-end fund, in Section 11 and Section 10(b)/Rule 10b-5 class action.
    • Karpus v. Hyperion 1997 Term Trust, Inc., 1996 WL 668860 (S.D.N.Y. 1996). Represented the issuer, a closed-end fund, in Sec. 11 and Sec. 10(b)/Rule 10b-5 class action; motion to dismiss granted.
    • The successful resolution of a multi-million dollar tortious interference and breach of fiduciary duty claim arising out of an Internet-based business.
    • The successful application of an adult living community to expand its facility in the face of a challenge under an anti-eviction statute (a case of first impression in New Jersey).
    • On a pro bono representation, obtaining a substantial federal jury verdict for sexual harassment in favor of a former New York Police Department employee.

    M&A Litigation

    • Representing Inhibitex, Inc. and its board of directors in expedited shareholder litigation following the announcement of the company's acquisition by Bristol-Myers Squibb for US$2.5 billion.
    • Representing One Equity Partners in expedited shareholder litigation following the announcement of the acquisition of ArthroCare Corp. by Smith & Nephew for US$1.7 billion.
    • Representing Buckeye Technologies, Inc. and its board of directors in expedited shareholder litigation following the announcement of the company's acquisition by Georgia Pacific for US$1.4 billion.
    • Representing One Equity Partners in expedited shareholder litigation following the announcement of its acquisition of M*Modal for US$1.1 billion.
    • Representing One Equity Partners in expedited shareholder litigation following the announcement of its acquisition of APAC Customer Services for US$470 million.
    • Representing Tufco Corp. and its board of directors in expedited shareholder litigation following the announcement of the company's acquisition by Griffin Holdings.
    • Heilman v. Baldino, Case No. MER-C-12808 (N.J. Ch. Div.). Represented the target company and its board of directors in shareholder litigation brought following a merger.
    • Cornell University, B.A., 1990
    • New York University School of Law, J.D., 1993, Staff Editor of the Annual Survey of American Law
    • New York
    • New Jersey
    • Supreme Court of the United States
    • United States Court of Appeals for the Federal Circuit
    • United States Court of Appeals for the Second Circuit
    • United States Court of Appeals for the Third Circuit
    • United States Court of Appeals for the Ninth Circuit
    • United States District Court for the District of Colorado
    • United States District Court for the District of New Jersey
    • United States District Court for the Eastern District of New York
    • United States District Court for the Southern District of New York
    • Mutual Fund Litigation and Enforcement Update — Mutual Fund Directors Forum, Washington, D.C. (November 17, 2020)
    • Disclosures and Communications with U.S. Fund Investors in the Current Environment — Dechert LLP, COVID-19 Coronavirus Business Impact Webinar (April 7, 2020)
    • Excessive Fee Litigation and Enforcement: Recent Decisions and Trends — Mutual Fund Directors Forum, Webinar (May 7, 2019)
    • 2017 Fund Directors Conference — Presented by the Independent Directors Council, Chicago (October 23-25, 2017)
    • 2017 Policy Conference — Mutual Fund Directors Forum, Washington, D.C. (July 24, 2017)
    • Current Developments Affecting the Fund Industry - ICI Breakfast Briefing, Palm Desert, CA (March 14, 2017)
    • The 2016 ALIC Annual Meeting, Colorado Springs, CO (May 16, 2016)
    • 2016 Mutual Funds and Investment Management Conference — ICI Investment Company Institute, Orlando, FL (March 13, 2016)
    • Third Annual Life Sciences Client Council Meeting — Marsh, New York, NY (June 4, 2015)
    • The SEC Perspective: SEC Regulation and Conversations with the SEC Staff — Practising Law Institute's Securities Products of Insurance Companies in the Course of Regulatory Reform 2015, New York, NY (January 21, 2015)
    • New York Has an Axe to Grind and Plaintiffs Try to Axe Fees — American Council of Life Insurers Compliance & Legal Sections Annual Meeting, Ft. Lauderdale, FL (July 28, 2014)
    • 2012 Policy Conference — Mutual Fund Directors Forum, Washington, DC (June 19-20, 2012)
    • Developing Business 2012: Developing Networks and Client Relationships — Practising Law Institute, New York, NY (March 26, 2012)
    • Effective Trial Testimony — LSI's Conference on Effective Development and Presentation on Expert Testimony, Chicago, IL (September 24, 2007)
    • Understanding the Link Between Off-Label Sales/Promotion & Securities Fraud/Shareholder Derivative Suits — Pharmaceutical & Medical Device Counsel's Guide to Off-Label Communications, New York, NY (April 24, 2006)