Practice Areas: Corporate Law; Complex Civil Litigation; Commercial Law and Contracts; Securities Litigation; FINRA Arbitrations; Securities Transactions; Exempt Placements; Intellectual Property; Labor and Employment; Commercial Leases and Real Estate.
Admitted: Massachusetts - 1983; New York - 1984; U.S. District Court, Southern District of New York - 1984; U.S. District Court, District of New Jersey - 1986; U.S. District Court, District of Massachusetts - 1988; U.S. Supreme Court - 1991; U.S. Court of Appeals, Federal Circuit - 1992; U.S. Court of Appeals - 1993, First Circuit; U.S. Court of Appeals, Fifth Circuit - 1994.
Education: Syracuse University, J.D. - 1983; Syracuse University, M.B.A. (management and finance) - 1983; University of Massachusetts, Amherst, B.A., cum laude - 1979.
Publications: Author, with Ira Lee Sorkin: "Civil Remedies Under RICO," Rico: Civil and Criminal, Law Journal Seminars Press, 1984; "Winning Arbitration Strategies: The Perspective of a Chairman in Massachusetts," in Robbins, D., Vol. 1, Securities Arbitration - 1996, pp. 529-61, Practicing Law Institute (PLI), 1996.
Experience: Staff Attorney, U.S. Securities and Exchange Commission (SEC), Division of Enforcement, New York Regional Office) 1984-1987 (Letters of Recognition from Chairman Shad and Commissioner Grunfeld). Special Assistant U.S. Attorney, Frauds Division, U.S. Attorney's Office for District of New Jersey, 1986-1991. Arbitrator: National Association of Securities Dealers (NASD), 1980's-1990's; American Arbitration Association (AAA), 1990's.
Reported Cases: Paine Webber, Inc. v. Elahi, et al., 87 F.3d 589 (1st Cir. 1996); McNichols v. Commissioner of Internal Revenue, 13 F.3d 432 (1st Cir. 1993), cert. denied, 512 U.S.1219 (1994); United States v. Cannistraro, 694 F. Supp. 62 (D.N.J. 1988) aff'd in part and vacated in part, 871 F.2d 1210 (3d Cir. 1989); United States v. Zolp, 659 F. Supp. 692 (D.N.J. 1987); SEC v. Tome et al., 638 F. Supp. 596, 629 & 638 (S.N.Y. 1986), aff'd, 833 F.2d 1086 (2d Cir. 1987), cert. denied, 486 U.S.1014, 1015 (1988).
Special Agencies: U.S. Securities and Exchange Commission; Financial Industry Regulatory Authority (FINRA) f/k/a NASD.; New York Stock Exchange (NYSE); Massachusetts Secretary of State, Securities Division; U.S. Equal Employment Opportunity Commission (EEOC); Massachusetts Commission Against Discrimination (MCAD).
Transactions: Representation of hedge funds and securities broker-dealers; representation of Internet clients in merger with subsidiary of major Japanese conglomerate; representation of certain company founders in a division spin-off by a major hardware company, with financing provided by venture capital; representation of a hedge fund limited partnership, focusing its investments in the financial and banking industry and handling the partnership's securities and blue sky requirements in various jurisdictions; private placements and mezzanine financing of various clients, including bio-tech and high-tech companies; representation of clients in asset purchases and corporate acquisitions.