JD, cum laude, Editor, Boston University Law Review, Boston University School of Law, 1975
BA, New York University, 1972

• New York State Bar

• Representation of an accounting firm in a Rule 10b-5 securities fraud class action (D. N.J.) arising out of the sale of IPO shares in a computer software company. 
• Representation of an accounting firm in claim by bankruptcy trustee and others (E.D. N.Y.) relating to alleged accounting fraud perpetrated by directors and officers of a public company. 
• Representation of an investment bank in a Rule 10b-5 securities fraud class action (D. Fla.) arising out of the sale of interests in a portfolio of sub-prime automobile loan receivables. 
• Representation of a hedge fund in a Section 16(b) "short swing profits" action (D. Del.) involving derivative securities. 
• Representation of an accounting firm in a class and shareholder derivative action (Sup. Ct. N.Y. Co.) alleging corporate waste, mismanagement and improper financial reporting. 
• Representation of an accounting firm in a Rule 10b-5 securities fraud action (S.D. N.Y.) arising out of the accountants’ role assisting in the acquiring company’s "due diligence" of the target company. 
• Representation of an accounting firm in a class action securities fraud case (S.D. N.Y.) arising out of allegations of improper revenue recognition by a public company. 
• Representation of an accounting firm in a Rule 10b-5 securities fraud action (S.D. N.Y.) arising out of the firm’s issuance of a fairness opinion. 
• Representation of an accounting firm in connection with malpractice action (Sup. Ct. Kings Co.) relating to audit of a health care facility. 
• Representation of an accounting firm in a New Jersey state court accountants’ malpractice action. 
• Representation of an accounting firm in connection with state and federal securities fraud actions, including class action, involving a physician practice management business. 
• Representation of a major accounting firm in an action for aiding and abetting breach of fiduciary duty (Sup. Ct. N.Y. Co.). 
• Representation of a sub-prime mortgage loan originator in a federal court action (S.D. N.Y.) brought against it by the purchaser of a loan portfolio. 
• Representation of an investment advisor in a suit alleging theft of trade secrets (Sup. Ct. N.Y. Co.). 
• Representation of a well known hedge fund manager in claims against the securities exchange (D. Ill.). 
• Representation of a mid-size brokerage firm in a series of arbitrations brought by other brokerage firms who purchased securities from the client as part of what turned out to be a Ponzi scheme (NASD, NYSE). 
• Representation of a mid-size brokerage firm in a securities fraud action (D. Mass.) that resulted in summary judgment in the client’s favor and the establishment of a "new" law on the issue of "reasonable reliance" (Kennedy v. Josephthal). 
• Representation of a mid-size brokerage firm in a securities fraud action (D. Mass.) that resulted in dismissal in the client’s favor and the establishment of a "new" law on the issue of "inquiry notice for statute of limitations purposes. 
• Representation of a manufacturer of computer printers (a subsidiary of a Fortune 500 company) in a multimillion dollar contractual dispute brought by a purchaser of printers (AAA). 
• Representation of a national food services company in litigation (Sup. Ct. N.Y. Co.) with a national movie theatre chain arising out of a contractual dispute relating to its movie theatre concession business. 
• Representation of a Fortune 500 manufacturing company in various tax litigations, including litigation of unitary tax issues in Illinois, New Hampshire, California and Maryland. 
• Representation of a major investment bank in an SEC enforcement action (NY) involving tender offer practices. 
• Representation of numerous individuals and entities in various Securities and Exchange Commission (SEC), New York Stock Exchange (NYSE), NASD and Commodity Futures Trading Commission (CFTC) proceedings. 
• Representation of an NYSE floor broker on a successful appeal to the SEC reversing NYSE suspension of the broker. 
• Representation of numerous individuals and entities in various white-collar criminal proceedings, including representation of defendants in the Abscam investigations, U.S. v. Scotto, labor racketeering cases and tax fraud cases. 
• Representation of a major investment bank (Drexel Burnham Lambert) in a US$500 million fidelity bond claim against numerous insurance companies arising out of the activities of Michael Milken and Dennis Levine (Sup. Ct. N.Y. Co., S.D. N.Y.). 
• Representation of a Fortune 500 company in a fidelity bond claim against an insurance company arising out of the theft of computer memory "SIMMS" in Scotland (Super. Ct. N.J.). 
• Representation of a major financial services company in connection with "business interruption" insurance claims arising out of the September 11 attack. 
• Representation of a midsize brokerage firm in a fidelity bond claim and claims against the securities exchange resulting from trading losses. 
• Representation of various brokerage firms in securities arbitrations involving customer claims of all kinds, including churning, suitability and breach of fiduciary duty. 
• Representation of a midsize brokerage firm in an employment discrimination claim based on "disability" (NYSE). 
• On behalf of a midsize brokerage firm, obtained a decision from the New York State Appellate Division, in a case of first impression, holding that state law disability discrimination claims are arbitrable. 
• On behalf of a New York investment advisor, obtained a decision in a case of first impression before the New York Supreme Court Appellate Division First Department that the failure of a purported limited partnership to file its certificate of limited partnership rendered it nonexistent, and thus without capacity to sue for damages relating to the breach of a contract entered into by such a non-existent entity. 
• Representation of an accounting firm in a commercial lease dispute (Sup. Ct. N.Y. Co.). 
• Representation of a major insurance company in a commercial lease dispute (Sup. Ct. N.Y. Co.). 
• Representation of a subsidiary of a publicly held health services company (nursing home chain) in a complex commercial lease dispute (Super. Ct. N.J.). 
• Representation of a major insurance company in a fraud action (S.D. N.Y.) involving denial of no-fault insurance benefits to medical providers. 
• Representation of a major insurance company in a class action brought on behalf of a person seeking no fault benefits from insurance companies (Sup. Ct. Bronx. Co. and App. Div. 1st Dept.). 
• Representation of a major insurance company in a libel and unfair business practices action arising out of the denial of health insurance claims. 
• Representation of a major mutual fund management company in an action (S.D. N.Y.) for excessive advisory fees under the Investment Company Act. 
• Representation of a major mutual fund management company in an action (S.D. N.Y.) arising out of a breach of agreement concerning the sale of a business. 
• Representation of a hedge fund manager in state and federal court actions alleging breach of fiduciary duty and other misconduct (S.D. N.Y., Sup. Ct. N.Y. Co., Del Ch. Ct.). 
• Representation of a real estate investor in a multimillion dollar dispute with the IRS concerning the special estate tax lien (D. N.J.) (Tax Court). 
• Representation of a British company in a fraud action brought against the company and individual officers, relating to major environmental clean-up costs and corporate looting (D. Idaho). 
• Representation of various clients in trademark infringement matters of various kinds, including relating to the use of Internet domain names.

• The Best Lawyers in America, commercial, securities and regulatory enforcement litigation, Best Lawyers, 2010 - 2021
• Best Lawyers - Commercial Litigation, Best Lawyers, 2022 - 2024
• Best Lawyers - Litigation – Securities, Best Lawyers, 2022 - 2024
• Legal Elite Litigation List, AVENUE magazine, 2017
• New York Metro Super Lawyers, Securities and Business Litigation, Thomson Reuters, 2006 - 2020, 2022
• Peer review rating of "AV" - the highest legal ability and ethical standards ratings accorded to lawyers in the publication, Martindale-Hubbell
• Leading Lawyer, commercial litigation and securities, Benchmark: Litigation, Euromoney PLC
• Who’s Who in the World, Marquis
• Who’s Who in America, Marquis
• Who’s Who in American Law, Marquis
• Who’s Who in Finance and Industry, Marquis
• Humanitarian Award, Award of Courage Corporation at its annual dinner benefiting the Memorial Sloan-Kettering Cancer Center in New York, 2006

• "Project Finance and Infrastructure," Chapter 146, Business and Commercial Litigation in Federal Courts, Fourth Edition (Robert L. Haig ed.) West & ABA, 2017
• "Supreme Court Limits—But Does Not Foreclose—Section 11 Liability for Statements of Opinion, Leaving Investors With a Steep Climb," Client alert, March 30, 2015
• "Notes from the Bench," Capital Markets NewsWire, Winter 2014
• "United States v. Newman: Second Circuit Sets Limits With Respect to Insider Trading Liability," March 2015
• "Case Evaluation," Chapter 5, Commercial Litigation in New York State Courts, Fourth Edition (Robert L. Haig ed.), West & NYCLA, 2015
• "Supreme Court Reaffirms Basic’s Fraud-on-the-Market Presumption, but Holds Defendants Can Challenge Price Impact of Misrepresentations Prior to Certifying a Securities Fraud Class Action," Client alert, July 8, 2014
• "Appeals Court Dismisses Fraudulent Inducement Suit Due to Lack of Justifiable Reliance on Misrepresentations," Financial Services Litigation NewsWire, July 2013
• "Ten Years After Andersen’s Demise: The State Of Accountants’ Liability Issues," INSIDE Public Accounting, June 2012
• "Project Finance and Infrastructure," Chapter 124, Business and Commercial Litigation in Federal Courts, Third Edition (Robert L. Haig ed.), West & ABA, 2011
• "NY Court: Investors Cannot Pursue Fraud Claims Against Accounting Firm For Purely Derivative Damages," VCExperts, October 29, 2010
• "New York’s Top Court Endorses Broad Scope For In Pari Delicto Defense When Outside Professionals Are Sued In Connection With Corporate Frauds," Client alert, October 25, 2010
• "New York’s Top Court Affirms That Hedge Fund Investors Cannot Pursue Fraud Claims Against Accounting Firm For Purely Derivative Damages," Client alert, July 13, 2010
• "New Rules Limit Circumstances Under Which Inadvertent Disclosure Waives Attorney-Client Privilege," Client alert, October 2, 2008
• "DOJ Revises Guidelines to Limit Demands that Corporations Waive Attorney-Client Privilege or Not Advance Employees’ Legal Fees as a Condition of 'Cooperating' with a Government Investigation," Client alert, September 8, 2008
• "Responding to Auditors Without Waiving Attorney Work-Product Protection," Law.com, American Lawyer Media, July 14, 2008
• "US Supreme Court Significantly Expands Discretion of District Courts under Sentencing Guidelines," Client alert, December 18, 2007
• "Tellabs Decision Should Reduce Frivolous Fraud Suits," Securities Law360, July 5, 2007
• "Second Circuit Holds That Mere Auditor 'Review' Of Quarterly Financials Will Not Give Rise To Liability Under The Federal Securities Laws," Client alert, March 14, 2007
• "Second Circuit Confirms That Auditors Can Have A 'Duty To Correct' Their Own Prior Misstatements Under The Federal Securities Laws," Client alert, March 6, 2007
• Securities Litigation and Enforcement NewsWire, October 2005
• Securities Litigation and Enforcement NewsWire, April 2005
• "Chapter 5: Case Evaluation," Commercial Litigation in New York State Courts, Second Edition (Robert L. Haig ed.), West & NYCLA, 2005
• "Once the Cat is Out of the Bag: Whether the Doctrine of Selective Waiver Applies to Preserve Privilege When Information is Voluntarily Disclosed to the SEC or Other Government Agencies," The Journal of Investment Compliance Fall 2003

• "Amgen and the Demise of Fraud on the Market," 2013 Professional Risk Preferred Securities Panel Counsel Meeting, Philadelphia, PA, June 5, 2013
• "Pleadings," New York State Bar Association's Commercial Litigation Academy, New York, NY, October 18, 2012
• "Advice from the Experts: Successful Strategies for Winning Commercial Cases in New York State Courts," New York County Lawyers' Association, New York, NY, May 4, 2012
• "Case Evaluation for In-House Counsel: Developing the Appropriate Strategy," Navigant's New York Corporate Counsel Roundtable Series, New York, NY, June 9, 2011
• "Pleadings," New York State Bar Association's Commercial Litigation Academy, New York, NY, May 5, 2011
• "What You and Your Company Need to Know About D & O Insurance Policies," New York, NY, June 23, 2009
• "A Day in the Life of an E-Discovery Case," T3 Trial Tactics & Technology Conference, New York, NY, November 27-28, 2007
• "Touro Law School Presentation, Case Evaluation," Central Islip, NY, August 23, 2007
• "Ethical Considerations of an In-House Lawyer," Securities Industry Association Legal and Compliance Division Conference, Hollywood, FL, March 2006
• "The Do's and Don'ts of Internal Investigations," Gateway to Opportunities Compliance/Ethics Marathon, New York, NY, June 27, 2005
• "Internal Investigations," Securities Industry Association Legal and Compliance Division Conference, April 2003

• Member, The Association of the Bar of the City of New York
• Member, New York County Lawyers Association, Federal Courts and Appellate Courts Committee
• Member, American Bar Association
• Member, Federal Bar Council
• Member, Securities Industry Association, Legal and Compliance Division
• Member, New York State Bar Association House of Delegates, 1996 – 2000
• Chair, Appellate Courts Committee: New York County Lawyers’ Association, 1993 – 1996
• Board of Directors, New York County Lawyers’ Association, 1995 – 1998, 1999 – 2002
• Fund for Modern Courts, 1994 – 2015
• Advisory Group, New York State Supreme Court Commercial Division Advisory Panel to the Chief Administrative Judge on Alternative Dispute Resolution and related issues
• Panel, CPR International Institute for Conflict Prevention and Resolution, New York City Panel of Distinguished Neutrals
• Panel of neutrals, New York State Supreme Court, Commercial Division, New York County Mediation and Arbitration Program
• Member, Lawyers Committee: National Center for State Courts, 2010– 2015
• Instructor, National Institute of Trial Advocacy Programs
• Judge, National Moot Court Competition
• Adjunct instructor, New York Law School, 1980 – 1983