Overview

Mike is a partner in the firm's Business Litigation practice group. He focuses his practice on the defense of broker dealers, brokers and clearing firms and the representation of members of the financial services industry in litigations, arbitrations, mediations and regulatory matters.

Mike has extensive experience with hundreds of SRO securities arbitration claims (including more than 60 clearing firm cases) involving the full array of substantive issues including fraud, suitability, margin, unauthorized trading, regulatory violations, marketing and sales, churning, raiding, SIPC and other issues.

Mike also has more than 30 years of experience as a commercial litigator and has worked on diverse substantive related matters, including employment discrimination, antitrust (including civil, criminal, and class action), white collar defense, trademark, copyright, bankruptcy, hospitality, RICO, real estate and estates.

Experience
  • Obtained dismissals of numerous and diverse claims, including arbitration and class action claims, by correspondent customers against clearing firm client with many dismissals granted prior to final awards.
  • Successfully represented broker dealers against numerous and diverse customer claims and on counterclaims against industry and customer parties.
  • Obtained substantial recoveries for a regional broker dealer in recruitment claims against several other institutional broker dealers.
  • Successfully represented computer software company in claims relating to copying of hedge fund and fund of funds trading platform.
  • Successfully represented employer in defense of age, sex, race, disability and religion employment discrimination claims including federal court jury trial.
Publications
  • "Throwing Out the Baby with the Bathwater – FINRA's Latest Proposal to Limit Dispositive Motions," PLI Securities Arbitration, 2008
  • "The Case for Dismissing the Case – Why Dispositive Motions Should Remain an Integral Part of the Arbitral Process," PLI Securities Arbitration, 2007
  • "Clearing Firm Liability Updated 2006 to 2007," PLI Securities Arbitration, 2007
  • "Clearing Firm Liability Updated 2003 to 2004," PLI Securities Arbitration, 2004
  • "Clearing Firm Liability Updated 2002 to 2003 – Thumbs in the Dam," PLI Securities Arbitration, 2003
  • "Adding Power to Your Summations," PLI Securities Arbitration, 2003
  • "Cross Examination in Securities Arbitrations," PLI Securities Arbitration, 1996
  • "Summations in Securities Arbitrations," PLI Securities Arbitration, 1997
  • "Pre-Hearing Motions to Dismiss Securities Arbitration Claims," PLI Securities Arbitration, 1999
  • "Clearing Firm Liability – Has the Dam Really Cracked?", PLI Securities Arbitration, 2000
  • "Clearing Firm Liability Revisited 2001 to 2002" (with supplement), PLI Securities Arbitration, 2001
  • "Clearing Firm Liability 2001 to 2002," PLI Securities Arbitration, 2002
Distinctions
  • Selected for inclusion in New York Super Lawyers magazine for Business Litigation, 2014 and 2015
Professional and Civic

Professional Associations

  • Federal Bar Council
  • New York State Bar Association
  • American Bar Association
  • Bar Association of the City of New York
  • Securities Industry Financial Markets Association, Compliance and Legal Division
News