Representation of holder of sovereign debt issued by Province of Mendoza, Argentina, in action for interest on defaulted note. Ajdler v. Province of Mendoza, 2017 U.S. Dist. LEXIS 122659, Question certified by, Reserved by 890 F.3d 95, 2018 U.S. App. LEXIS 12320 (2d Cir. N.Y., May 11, 2018), affirmed by, 2019 U.S. App. LEXIS 15269 (2d Cir. May 23, 2019).
Representation of Investor in connection with action to collect on defaulted note. Alpha Capital Anstalt v General Biotechnology Corp., 191 A.D.3d 515 (1st Dept 2021).
Representation of investor in connection with action for fraudulent inducement of purchase of securities. Alpha Capital Anstalt v. Intellipharmaceutics Int’l Inc., 2020 U.S. Dist. LEXIS 107495 (S.D.N.Y. June 18, 2020).
Representation of investment funds in action against bankrupt officers and directors of public company for securities fraud. Alpha Capital Anstalt v. Schwell Wimpfheimer & Assocs. LLP, et al., 2018 U.S. Dist. LEXIS 54594, Fed. Sec. L. Rep. (CCH) P100,071 (S.D.N.Y. Mar. 30, 2018).
Representation of former employee whistleblower in action under New York State False Claims Act for fraud against local municipalities based on certification of compliance with applicable environmental law. EPR Corp. ex rel. State of New York v. Covanta Hempstead Company et al., No., 007549/2013 (Supreme Court of the State of New York, Nassau Cnty.).
Representation of online broker dealer in action to confirm arbitration award. Interactive Brokers LLC v. Garippa, Index No. 650786/2019 (Supreme, New York Cnty.).
Representation of numerous University and College Presidents in the City University of New York (CUNY) system in connection with an investigation by the Office of the Inspector General of the State of New York.
Representation of investment funds in action against small public company for default on notes resulting in summary judgment and imposition of judgment for full liability. Alpha Capital Anstalt and Brio Capital Master Fund, Ltd., 208 U.S. Dist. LEXIS 125379 (S.D.N.Y. July 26, 2018).
Representation of investment fund in action against investment bank and public company for breach of contract. Alpha Capital Anstalt v. Real Goods Solar, Inc. et al., 311 F. Supp. 3d 623 (S.D.N.Y. April 25, 2018); Alpha Capital Anstalt v. Real Goods Solar, Inc., 323 F.R.D. 177 (S.D.N.Y. 2017).
Acted as co-Lead Counsel for Lead Plaintiff in class action securities litigation against Canadian payday lender that resulted in cross-border global settlement. Globis Capital Partners L.P. et al. v. The Cash Store Financial Services Inc. et al., No. 13 Civ. 3385 (S.D.N.Y.).
Representation of investment advisor in action brought by United States Securities and Exchange Commission, including on appeal to the United States Court of Appeals for the Fifth Circuit in New Orleans, LA. SEC v. Evolution Capital Advisors, LLC, 2013 U.S. Dist. LEXIS 148630 (S.D. Tex., Oct. 16, 2013); SEC v. Valdez, 661 Fed. Appx. 814, 2016 U.S. App. LEXIS 16726 (5th Cir. Sept. 13, 2016).
Representation of investment funds as a conflict counsel in connection with litigation against the Republic of Argentina arising out of default on sovereign debt that resulted in historic settlement. NML Capital, Ltd. V. Republic of Argentina, NML Capital, Ltd. v. Republic of Arg., 2014 U.S. Dist. LEXIS 74922 (S.D.N.Y. April 18, 2014).
Representation of online broker-dealer in action brought by investor for fraud that was dismissed with prejudice on a motion to dismiss. Kraus v. Lee, 2015 U.S. Dist. LEXIS 64061, 2015 WL 2354381 (E.D.N.Y. May 15, 2015).
Representation of former CEO of Merrill Lynch in connection with numerous civil litigation and governmental investigations arising out of 2008 merger of Bank of America and Merrill Lynch. See, e.g., In re Bank of America Corp. Securities, Derivative and Employee Retirement Income Security Act (ERISA) Litigation, 757 F. Supp. 2d 260 (S.D.N.Y.); In re Merrill Lynch & Co., Inc. Securities, Derivative and ERISA Litigation, 2009 WL 3125512 (S.D.N.Y. Sep 21, 2009); Lambrecht v. O’Neal, 504 Fed. Appx. 23 (2d Cir. 2012).
Representation of principal of major Madoff feeder fund in connection with numerous civil litigations and governmental investigations arising out of Madoff scandal. See, e.g., Anwar v. Fairfield Greenwich Ltd. et al., 728 F. Supp. 2d 372 (S.D.N.Y.) (VM).
Representation of Monster Worldwide, Inc. in connection with shareholder class action, derivative litigation, internal investigation and SEC and DOJ investigations of NYSE-listed company’s historical stock option granting practices. See, e.g., In Re Monster Worldwide Securities Litigation, 07 Civ. 02237, 2007 WL 1647012 (S.D.N.Y. Apr 18, 2007); In re Monster Worldwide, Inc. Stock Option Derivative Litigation, Master Docket 1:06:cv 04622 (S.D.N.Y.)(NRB-DCF); SEC v. Monster Worldwide, Inc., 09 Civ. 04641 (S.D.N.Y.).
Representation of former CFO of Comverse Technologies Inc. in connection with shareholder class action, derivative litigation, and criminal prosecution related to stock option backdating. In re Comverse Technology, Inc. Securities Litigation, 2009 WL 927473 (E.D.N.Y. Mar 24, 2009); In re Comverse Technology, Inc. Derivative Litigation, 06 Civ. 01849 (E.D.N.Y.); United States v. Kreinberg, 06 Cr. 00704 (E.D.N.Y.); Maverick Fund, L.D.C. v. Comverse Technology, Inc., 801 F.Supp.2d 41 (E.D.N.Y. 2011).
Representation of former CFO/COO of Take-Two Interactive Software Inc. in connection with derivative litigation and governmental investigation related to stock option backdating, and SEC enforcement action related to revenue recognition issues. In re Take-Two Interactive Software, Inc. Derivative Litigation, 06 Civ. 05279 (S.D.N.Y.); Take-Two Interactive Software, Inc. v. Brant, 2010 U.S. Dist. LEXIS 32120 (S.D.N.Y. 2010); SEC v. Take-Two Interactive Software, Inc., 05 Civ. 5443 (S.D.N.Y.).
Representation of investment advisor Askin Capital Management and its principal, David Askin, in connection with all aspects of investigations and litigations arising out of the 1994 collapse of the Granite hedge funds. See, e.g., Primavera v. Askin, 130 F. Supp.2d 450 (S.D.N.Y.2001); Primavera v. Askin, 178 F.R.D. 405 (S.D.N.Y. 1998); ABF Capital Management v. Askin Capital Management, 957 F. Supp. 1308 (S.D.N.Y. 1997); Kidder Peabody & Co., v. Unigestion International Ltd., 903 F. Supp. 479 (S.D.N.Y. 1995).
Other representative matters include: In re Goldman Sachs Mutual Funds Fee Litigation, 2006 U.S. Dist. LEXIS 1542 (S.D.N.Y. Jan. 13, 2006); In re DVI Securities Litigation, 2005 U.S. Dist. LEXIS 17286 (E.D. Pa. May 31, 2005); In re Bank of New York Derivative Litigation, 320 F.3d 291 (2d Cir. 2003); AUSA Life Ins. Co. v. Dwyer (In re JWP Securities Litigation, 928 F.Supp. 1239 (S.D.N.Y. 1996).