Below are examples of cases handled by our partners and various industries we have represented over the last several years.

Securities and Commodities
Defended majority shareholder in securities class actions arising from the collapse of a publicly held insurance holding company after takeover of a subsidiary life insurer by the California Insurance Commissioner.

Defended broker dealers, investment advisers, investment companies, commodity pool operators, FCM's and commodity trading advisers in SEC and CFTC administrative trials involving allegations of fraud, false reporting, self-dealing, improper books and records and financial reporting irregularities.

Defended majority shareholder in federal securities fraud suit over the freeze out of the minority interests. Resulted in a successful dismissal and remand to state court for minority appraisal rights.

Defended broker dealer subsidiary of life insurance company in connection with a fraudulent securities transaction claim for damages. Resulted in a voluntary dismissal with prejudice prior to hearing.

Intellectual Property
Defended developer of computer program for race and sports books in suit alleging copyright infringement and theft of trade secrets. Obtained favorable settlement after court ruled in favor of defendant on copyright claim.

Defended Chinese leather goods manufacturer in suit alleging copyright and trade dress infringement. Resulted in favorable confidential settlement.

Developed and oversaw internet monitoring and cease and desist program for motion picture studio. Successfully recovered numerous unauthorized videotapes, film trailers and other items.

Represented a French manufacturer in an international arbitration against former technology licensee. Defeated significant claim for breach of license agreement and awarded damages and attorney's fees on counterclaim.

Represented international franchisor of real estate brokerages in suit against former agent for defamation. Awarded preliminary and permanent injunction on motions.

Franchise
Represented several hotel and real estate franchisors in numerous lawsuits throughout California against current and former franchisees. Claims included trademark infringement, fraud, violation of California Franchise Relations Act, and breach of contract.

Consumer Class and Individual Actions
Represented national magazine subscription service in class action suits by customers alleging fraudulent sweepstakes promotions.

Represented consumer finance company in several class action suits alleging fraud, insurance packing and Truth in Lending Act violations. Most actions settled favorably or disappeared after successful motions to compel arbitration.

Represented national operator of private technical schools in suit by 62 former students alleging fraud, unfair competition and violation of Waters Student Protection Act.

Environmental
Defended transportation services provider in action for damages caused by leaking underground storage tank and gas line. After five week jury trial matter settled favorably.

Defended large manufacturer in CERCLA action seeking contribution for clean up of chlorinated solvents at former baseball bat manufacturing facility.

Insurance Coverage
Represented liability insurers in numerous lawsuits brought by insureds seeking insurance coverage for costs of remediating environmental contamination.

Represented insurer in action for bad faith breach and counter-breach of credit insurance policy.

Advised and represented insurer in connection with claims on disability insurance policies.

Government Investigations
Represented individuals charged with violations of SEC insider trading laws in a dozen separate investigations. (None have resulted in criminal indictments).

Represented numerous accountants and lawyers involved in investigations conducted by the SEC into direct, and aiding and abetting violations of the federal securities laws, as well as charges of unfitness to practice before the SEC.

Represented numerous regulated entities (broker dealers, investment advisers, commodity trading advisers) in SEC and CFTC investigations into reporting, record keeping and disclosure violations of various federal regulations.

Represented publicly held company and its officers in a Federal Election Commission investigation into improper campaign contributions and false reporting charges. Resulted in a settlement with no criminal referral.

Federal Administrative Proceedings
Defense of an investment adviser and its principals in a trial alleging false reporting, fraud, prohibited transactions and investments, and insider self-dealing.

Defense of a brokerage firm and its CEO in a trial alleging failure to properly supervise, failure to maintain required books and records and failure to maintain required capital.

Defense of a clearing firm in a case charging aiding and abetting anti-fraud violations of the federal commodity laws.

Construction
Represented Las Vegas hotel and casino owner in arbitration concerning numerous disputed change orders and various construction defects. Arbitration lasted six weeks over a one-year period.

Employment
Represented employers and employees in claims for wrongful termination, sexual harassment, and recovery of stock options.

Commercial Litigation
Defended several foreign manufacturers in federal and state court suits for breach of contract, fraud and racketeering concerning the closure of their U.S. operations. Resulted in successful summary judgments and settlements.

Defended foreign banks and insurance companies in federal court suits for breach of contract and securities fraud in connection with U.S. lending and finance operations. Resulted in successful dismissals and trials.

Reported Cases
Heckethorn v. Sunan Corp., 992 F.2d 240 (9th Cir. 1993).

California Architectural Building Products, et al. v. Franciscan Ceramics and Wedgwood plc, 818 F.2d 1566 (9th Cir. 1987). 

Carver v. Hooker, 369 F.Supp. 20 (D.N.H. 1973); aff'd 501 F.2d 1244 (1st Cir. 1973). 

ITT Small Business Finance v. Niles,  9 Cal. 4th 245 (1994). 

Dolcino v. Clifford, 11 N.H. 420 (1974). 

ITT Consumer Financial Corp. v. Patterson, 14 Cal.App.4th 1659 (1993). 

Representative Industries

• Insurance
• Manufacturing
• Software
• Hardware
• Securities
• Commodities
• Investment Advisory
• Franchise
• Real Estate
• Accounting
• Financial Services
• Construction