Financial Services Litigation
- Broker-dealer arbitrations
- Investment adviser disputes
- Claims arising from transactions undertaken by investment funds
- Enforcement efforts by both governmental and non-governmental regulators
Our representative matters include:
- Representing a local investment management firm in a dispute with a Los Angeles-based finance company concerning a structured finance transaction. The opponent sought more than $20 million in compensatory damages plus additional punitive damages, alleging fraud and breach of contract. We not only successfully defended against those claims, but won more than $1.8 million for our client for related counterclaims.
- Defending in arbitration a local, family-owned securities brokerage against claims of unauthorized and unsuitable trading.
- Resolving a FINRA-initiated complaint against a local broker-dealer accused of violating rules regarding publication of research reports and trading during blackout periods.
- Resolving state regulators' claims of violations against managers of an investment fund related to exemptions from registration and investor accreditation.
- Pursuing claims for churning, unsuitability, and failure to supervise against a national brokerage firm.
- Defending investigations and responding to subpoenas from regulatory agencies and third-parties, including on behalf of individual directors and executives, as well as financial services firms.
(Multnomah County Circuit Court) – Successfully represented local investment management firm in dispute with a Los Angeles based finance company concerning a structured finance transaction. The opponent sought more than $20 million in compensatory damages plus additional punitive damages, alleging fraud and breach of contract. Successfully prosecuted Client's damages claims for more than $1.8 million for breach of contract and non-payment of note obligations.
PEBB v. OHSU
Successfully pursued Oregon Health & Science University’s right to recover a proportionate share of approximately $25 million, including interest, received by the state from the 1999 demutualization of Standard Insurance Company. (Marion County Circuit Court/Oregon Court of Appeals)