Lewis v. UBS
Superior Court, King County, Washington (2008). Successfully defended a securities fraud and consumer protection act claim against a broker and broker-dealer. The case was resolved on favorable terms to our clients at mediation.
Chase Jarvis v. K2 Inc. and K-2 Corporation,
U.S. District Court, Western District of Washington, U.S. Court of Appeals 9th Circuit (2005 - 2008). Successfully defended multi-million dollar claim alleging copyright infringement, breach of contract and conversion, and violations of the Lanham Act for failure to return images and give photographic credit. Defended the case through a bench trial, on appeal at the Ninth Circuit, and on remand to the trial court. On remand, plaintiff sought a multi-million dollar award for damages and attorneys’ fees, but was awarded only just over $2,000 and was denied attorneys’ fees following extensive briefing on the availability of statutory damages and the validity of copyright registrations.
Klug, et al. v. Multi-Financial Securities Corporation, et al.,
District Court, Denver County, Colorado, Colorado Court of Appeals (2006-2007). Successfully took over case following a multi-million dollar jury verdict in favor of plaintiffs based on claims of control person and vicarious liability for failing to properly supervise a registered representative secretly operating a hedge fund that subsequently lost all its money, prepared a strong appellate brief, negotiated a settlement of the case and obtained a vacation of the original judgment from the trial court.
The Quinault Indian Nation v. McDonald Investments, et al.,
FINRA Arbitration, Seattle, Washington (2007). Successfully defended a broker in a lengthy 15 day long arbitration proceeding based on claims of securities fraud, consumer protection violations and unsuitable investments. Obtained a positive result that included no factual findings of wrongful conduct by our client, and minimal liability for our client.
Blake v. KeyBanc Capital Markets, et al.,
FINRA Arbitration, Seattle, Washington (2007-08). Successfully defended and settled claims of unsuitability and securities fraud against KeyBanc.
Suarez, et al. v. Multi-Financial Services Corporation
NASD Arbitration, Portland, Oregon (2006). Successfully defended a broker-dealer against a multi-million dollar claim for alleged breach of contract, breach of fiduciary duty, negligence, conversion, common law fraud and violations of state and federal securities laws involving the purchase of various securities. The panel dismissed the entire case against the broker-dealer on motion for directed verdict at the conclusion of claimant’s case.
Averill v. Ciber, Inc.,
Superior Court, King County, Washington (2005). Acted as lead counsel for a technology company in a jury trial in which a unanimous jury verdict was obtained in favor of the company, which had been sued by a terminated corporate executive alleging, among other claims, breach of contract, and seeking damages pursuant to the terms and conditions of an employment agreement providing for stock options and compensation in connection with a corporate merger.
Ryan v. Safeco Investment Services, et al.,
NASD Arbitration, Seattle, Washington (2004). Successfully defended investment firm against a claim by a stock broker formerly employed by the firm. Claimant alleged that respondents improperly required disgorgement of funds related to sales of initial public offerings and that the investment firm damaged him further by allegedly improperly reporting the reasons for the stockbroker’s termination to regulatory authorities. The panel dismissed all claims against the investment firm.
Meyers, et al. v. UBS Financial Services, Inc., et al.,
NASD Arbitration, Seattle, Washington (2004). Successfully defended registered representatives against a customer claim. Claimant alleged breach of contract, breach of fiduciary duty, unsuitability, unauthorized trading, fraud, misrepresentation, negligence, omission of facts, violation of federal and state laws, and failure to supervise. The panel dismissed all claims against two of the representatives and recommended expungement of the claim from the regulatory record of the two brokers and issued a modest award against some of the other respondents.
Norris, Schmid, Huxman v. Renaissance Financial Securities Corp., et al., (consolidated case),
NASD Arbitration (2000), Los Angeles, California. Successfully defended registered representative and corporate principal in claim alleging fraud, misrepresentation, negligent misrepresentation, breach of fiduciary duty, failure to supervise, and unauthorized trading. All claims against the clients were dismissed.
Isaac v. FN Equities, et al.,
Superior Court, King County, Washington (1998-1999). Lead defense counsel in the successful defense in a class action claim against an equity fund, its principal and cable company sued for alleged securities fraud and breach of fiduciary duty in connection with investment and the restructuring of a cable television limited partnership.
Zankich v. Bear Stearns & Co., Inc.,
NASD Arbitration (1996). Claimant alleged failure to execute a trade. Successfully defended respondent and the panel dismissed all claims.
Guisinger v. Bear Stearns & Co., Inc.,
NASD Arbitration (1996). Claimant alleged misrepresentation and lack of suitability. Claimants awarded less than half of requested damages.
M & L Investments, et al., U. S. District Court, District of Utah; U.S. Court of Appeals 10th Cir. (1991-1993). Successfully defended Shearson in a securities dispute regarding client’s margin requirement compliance and allegations of Regulation T violations. Case reported at 10 F.3d 1510 (1993).
