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Visibility Rankings  | | #10,257 out of 53,921 lawyers in New York, New York | | #130,373 out of 890,538 total lawyers Overall |
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| Practice Areas | Securities Litigation; Securities Fraud Class Actions; General Commercial Litigation; Complex and Multi District Litigation; Class Action Defense; Commodity Futures Litigation; Derivatives Litigation | | | Peer Review Rating | AV
Rated.
What's this? | | | Education | Harvard University, J.D., magna cum laude, 1978, Brown University, A.B., magna cum laude, 1975 | | | Admitted | 1980, New York and U.S. District Court, Southern and Eastern Districts of New York; 1982, U.S. Court of Appeals, Fourth Circuit; 1983, U.S. Court of Appeals, Second Circuit and U.S. Supreme Court; 1987, District of Columbia; 1990, U.S. Court of Appeals, Sixth Circuit; 1998, U.S. Court of Appeals, Eleventh Circuit | |
| Memberships | Association of the Bar of the City of New York (Committee on Futures Regulation; Chairman, Litigation Subcommittee, 1986-1989 and 1991-1994; Committee on Securities Regulation, 1995-1998; Chair, Litigation Subcommittee of the City Bar Futures Regulation Committee, 1999-2002). | | | Born | New York, N.Y., August 26, 1953 | | | Biography | Phi Beta Kappa. Note Editor, Harvard Law Review, 1977-1978. Law Clerk to Hon. Irving R. Kaufman, U.S. Court of Appeals, Second Circuit, 1978-1979. Publications: "The Statutory Safe Harbor for Forward-Looking Statements: A Scorecard in the Courts From January 2002 Through April 2003," 35 Securities Regulation & Law Report 24 (June 16, 2003); "A Litigator's Perspective on Sarbanes-Oxley: An Assessment of Some Key Issues," 35 Securities Regulation & Law Report 4 (January 27, 2003); "Litigation Implications of the CEO and CFO Certification Requirements of the Sarbanes-Oxley Act," 17 Insights 1 (January 2003); "The Kwiatkowski Decision: Implications for the Nature and Scope of Duties of Brokers and FCM's to their Customers," 22 Futures & Derivatives Law Report 10 (December 2002); "Liability for Optimistic Research Reports Prepared by Securities Analysts," 16 Insights 9 (April 2002); "Safe Harbor for Forward-Looking Statements in the Courts: A Year 2001 Scorecard," 34 BNA Securities Regulation & Law Report 3 (January 2002), Reprinted in 70 United States Law Week 2443 (January 29, 2002); "The Scope and Nature of Common Law Duties of Financial Institutions to Customers and Counterparties: A Brief Survey of the Leading Cases," 21 Futures and Derivatives Law Report 8 (November 2001); Chaired subcommittee that prepared "Secondary and Supervisory Liability Under the Commodity Exchange Act: An Update," 56 Record of the Association of the Bar of the City of New York 239 (Spring 2001); "The Statutory Safe Harbor for Forward-Looking Statements in the Courts: A Year 2000 Scorecard," published in course materials for 32nd Annual Institute on Securities Regulation, sponsored by Practicing Law Institute (November 2000); General Editor, "Settling Commercial Litigation: Negotiating, Drafting and Enforcing Agreements to Resolve Business Disputes," (Aspen Law and Business 2000); "The Statutory Safe Harbor for Forward-Looking Statements in the Courts: A Scorecard," Securities Regulation Law Journal, (Winter 2000); "U.S. Securities Litigation in a Time of Legislative Change," 18 International Financial Law Review 19 (October 1999), republished in Spanish language edition in El Mercado de Valores (January 2000); "The Changing Responsibilities of Corporate Officers and Directors in the United States," 5 World Securities Law Report 33 (September 1999); "Does New York's Consumer Fraud Act Apply to the Sale of Securities?" New York Law Journal (June 17, 1999); "Clinton Signs Bill Pre-Empting Securities Suits," National Law Journal (November 16, 1998); "Confidentiality Agreements Become Increasingly Elusive," National Law Journal (July 20, 1998); Principal Author of report by Securities Regulation Committee of Association of the Bar of the City of New York, "Forward-Looking Statements and Cautionary Language After the 1995 Private Securities Litigation Reform Act: A Study of Current Practices," 53 The Record of the Association of the Bar of the City of New York 723 (1998); "The Statutory Safe Harbor For Forward Looking Statements: Has It Changed the Law? Has It Achieved What Congress Intended?," 76 Washington University Law Quarterly 645 (1998); "New Developments in Protective Orders: State Legislation and Procedural Rules", "Drafting and Responding to Written Discovery Under the New Federal Policies", "New Developments and Trends in Summary Judgment Practice", "Drafting Settlement Agreements", "Special Problems in Drafting Class Action Settlement Agreements", "Corporate Governance in the 1990's. Part One: New Standards, New Risks," 21 Director's Monthly 5 (May 1997); "Corporate Governance in the 1990's. Part Two: Institutionalizing Policies and Procedures to Minimize Risk," 21 Director's Monthly (June 5, 1997); "Special Problems in Drafting Class Action Settlement Agreements," 8 The Practical Litigator 69 (January 1997); "Permissible Scope of Indemnification of Corporate Officers and Directors Under Delaware Law," 10 Insights 21 (November 1996) and Directorship (January 1997); "The Private Securities Litigation Reform Act of 1995: A User's Guide," 24 Securities Regulation Law Journal 143 (Summer 1996); "Liability for Soft Information: New Developments and Emerging Trends," 22 Securities Regulation Law Journal 3 (Spring 1995); "New Developments in Summary Judgment Practice," The Practical Litigator (January and March, 1995); Futures Regulation Committee of Association of the Bar of the City of New York Report, "Secondary and Supervisory Liability Under the Commodity Exchange Act: A Field Guide," 49 The Record of the Association of the Bar of the City of New York, 51 (1994); "Indemnification of Officers and Directors Under Delaware Law," 4 Corporate Legal Times 43 (June 1994); "New Developments in Summary Judgment Practice," New York Law Journal (July 1, 1993); "Making Discovery Tools Work," 3 The Practical Litigator 51 (November 1992); "Exchange of Information Among Competitors," CMJ Manual on Government Regulation (1987) (with J. Greenfield). Member of Board Editors, Sixth, Seventh and Eighth Editions of Resource Materials, Civil Practice and Litigation in Federal and State Courts, American Law Institute/American Bar Association, 1996-1998 (three volumes). Professional Activities: Chair, program on "Legal Ethics and Personal Liability of Corporate Counsel," sponsored by the Directors' Roundtable, New York, New York, September 2003. Panelist on: "Litigation Implications of Sarbanes-Oxley," American Bar Association, Annual Meeting of Litigation Section, Houston, April 2003; "Major Liabilities," Securities Industry Association Law and Compliance Division Annual Meeting, March 2002, April 2003, and March 2004; "Sarbanes-Oxley Act: Impact on Civil Litigation under the Federal Securities Laws," Conference at Fordham Law School sponsored by ALI/ABA, December 2002; "Settling Cases: Confidentiality, Contribution & Indemnity, Ethics, Insurance, Releases," sponsored by the Federal Bar Council, April 2002; "Updates in Corporate and Securities Law," speaking on Selected Issues Under the Private Securities Litigation Reform Act, Association of the Bar of the City of New York, May 2000; "Protecting Yourself and Your Company from Potential Liability Pitfalls," at conference on "Communicating with Investors, Analysts and the Media," New York, N.Y., March 2000; "New Developments in Securities Litigation," International Bar Association, Paris, September 1995; "Internal Investigations," Futures Industry Association, Law and Compliance Division Annual Workshop, Baltimore, Maryland, May 1995; "Enforcement Issues," Chicago/Kent Annual Commodities Law Institute, November 1994; "Securities Litigation Reform: How Will This Affect Investors and Public Companies Alike?" sponsored by New York University Law Review Alumni Association Annual Symposium, May 1996; "Enforcement/Litigation Update" Program, American Bar Association, Section of Business Law, Committee on Futures Regulation, Annual Meeting, February 1994. Panel Chair, Civil Litigation, Financial Services Convergence Institute, sponsored by Chicago-Kent College of Law and Glasser Legal Works, New York, October 2001. Panel Chair, International Symposium on Derivatives and Risk Management 2001, Fordham University School of Law, March 2001. Faculty Member: "Introduction to the Deal: What's Involved Once Your Company Goes Public?," Association of the Bar of the City of New York, January 2001; PLI 29th, 30th, 31st and 32nd Annual Institute on Securities Regulation, 1997-2000; American Law Institute/American Bar Association Continuing Legal Education Course on Civil Practice and Litigation in Federal and State Courts, 1990—; Course on "Trial Evidence, Civil Practice and Effective Litigation Techniques," Sponsored by American Law Institute/American Bar Association Committee on Continuing Professional Legal Education, 1990- 2000; Conference on "Canada-U.S. Securities Regulation," speaking on U.S. Securities and derivatives litigation, Toronto, July 1999. Member and Chair, Litigation Subcommittee, Committee on Futures Regulation, Association of the Bar of the City of New York, 1999—. Member and Chairman, Litigation Subcomittee, Committee on Securities Regulation, Association of the Bar of the City of New York, 1995-1998. Chairman, Conference on "Corporate Disclosure After the Private Securities Litigation Reform Act," Chicago, May 1996. Lecturer: American Conference Institute on Securities Litigation, 1993-1996; "The Private Securities Litigation Reform Act of 1995: A User's Guide," sponsored by Association of the Bar of the City of New York, May 1996; Canadian Institute Program on Directors and Officers Liability, Toronto, Canada, September 1996 and April 1993; American Conference of Investment Counsel Annual Meeting, October 1993. Moderator, two panel discussions videotaped for CLE T.V., sponsored by the American Law Institute, on the new discovery rules, Winter 1994; and summary judgment, Spring 1994. Member, Committee on Futures Regulation, Association of the Bar of the City of New York, 1986-1989 and 1991-1994, and Chairman, Litigation Subcommittee, 1991-1994. Appointed by Chief Judge Brieant of U.S. District Court for the Southern District of New York as Mediator pursuant to Court's Civil Justice Expense and Delay Reduction Plan, 1993—. | | | Reported Cases | Rowinski v. Salomon Smith Barney Inc., 2003 WL 22740976 (M.D. Pa. Nov. 20, 2003); Phillips v. Morgan Stanley Dean Witter High Income Advantage Trust III, CCH Fed. Sec. L. Rep. ¶92, 205 (S.D.N.Y. 2002); Korsinsky v. Salomon Smith Barney Inc., 2002 WL 27775 (S.D.N.Y. 2002); In re Dean Witter Mortgage Futures Limited Partnership Litigation, 282 A.D. 2d 271, 724 N.Y.S. 2d 149 (1st Dep't 2001); Levy v. Alliance Capital Management L.P, 1998 U.S. Dist. LEXIS 16749 (S.D.N.Y. 1998), aff'd (2d Cir. August 20, 1999); Strougo v. Bassini, 2000 U.S. Dist. LEXIS 12924 (S.D.N.Y. 2000); The Julien Company v. Rollins Cotton Company, 146 F.3d 420 (6th Cir. 1998); Bibbo v. Dean Witter Reynolds, Inc., 151 F.3d 559 (6th Cir. 1998); Castillo v. Dean Witter Discovery & Co., 1998 U.S. Dist. LEXIS 9489 (S.D.N.Y. 1998); Dean Witter Partnership Litigation, 1998 Del. Ch. LEXIS 133 (Del. Ch. Ct. 1998, aff'd Del. S.Ct. 1998); Fustok v. ContiCommodity Services, Inc., 873 F.2d 38 (2d Cir. 1989); Korwek v. Hunt, 827 F.2d 874 (2d Cir. 1987); Gau Shan Co., v. Bankers Trust Co., 956 F.2d 1349 (6th Cir. 1992); Bellevue South Assocs. v. HRH Construction Corp., 78 N.Y.2d 282 (N.Y. Ct. App. 1991); Continental Grain Co. v. Meridien Int'l Bank, Ltd., 894 F. Supp. 654 (S.D.N.Y. 1995); Waltuch v. ContiCommodity Services, Inc., 833 F. Supp. 302 (S.D.N.Y. 1993) aff'd in part, 88 F.3d 87 (2d Cir. 1996). | | | ISLN | 902019292 | |
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