Arbitration Experience
Has served as an arbitrator in over 70 arbitrations, involving a wide range of issues and industries, including the following:
Panel Chair
- Dispute involving over $100 million in claims and counterclaims regarding the financing and operation of a limited partnership created to develop and sell a new software system for the aviation industry
- Claims by the non-managing members of an oil exploration and production company against its two managing members, alleging that the latter improperly expended company funds for their personal benefit through a variety of incentive compensation programs
- Claim by purchasers of securities for over $11 million in damages based on alleged untrue statements and omissions in the offering documents
- Claim by artist management company for compensation due as a result of corporate client’s breach of agreed terms of marketing and sales program
- Dispute regarding post-closing adjustment of purchase price under an acquisition agreement
- Claim by hospital against managed care company for failure to pay amounts due for pharmacy and diagnostic services rendered by hospital
Panel Member
- Dispute between finance company and its corporate client involving over $30 million in claims pertaining to financial and accounting matters under a credit card program
- Dispute regarding responsibility for excess inventory under a supply contract
- Dispute between public company and two former executives involving a total of over $100 million in claims by the executives for severance payments and other amounts owing under executive compensation plans and counterclaims by the company for breach of fiduciary duty and self-dealing
- Dispute regarding breach of partnership agreement
Sole Arbitrator
- Claim by former owners of large insurance agency alleging that the President of the company, together with their long-time business advisor, caused the company to be sold at below fair value in order to obtain certain personal benefits; claimants asserted causes of action for breach of fiduciary duty, conspiracy, unjust enrichment, fraud and violation of the state’s Securities Act
- Multimillion dollar antitrust claim against a manufacturer relating to its termination of a dealership for refusing to agree with other dealerships to fix prices
- Dispute among former members of a limited liability company involving claims of fraud, conspiracy, breach of fiduciary duty and breach of contract
- Claim by franchisor against franchisee for failure to pay license fees and other alleged breaches of franchise agreement
- Claim by former employee of retaliatory discharge for filing workers compensation claim
- Claim by service provider against client for failure to pay amounts owing under agreement for real estate tax review
- Dispute regarding interpretation of CPI escalation clause in contract
- Breach of contract claim by purchaser of equipment for failure to make timely delivery
- Claim by purchaser that products shipped to it were defective, with counterclaim by seller for non-payment
- Claim for damages resulting from improper foreclosure on commercial real estate
- Claim by landlord against commercial tenant for breach of lease
- Claim by service provider for non-payment of invoices and counterclaim by client for negligent performance under an agreement for billing and collection of customer accounts
- Claim by former executive against corporate employer for failure to pay amounts allegedly owed under incentive compensation plan
- Claim by former general partners of a partnership against the partnership and the remaining partners for various breaches of the agreement pursuant to which claimants sold their interests in the partnership
- Dispute among members of a limited liability company regarding the company’s accounts
- Claim by bank against debtor and guarantor for non-payment of promissory notes
FINRA
- Approximately 30 other arbitrations, administered by FINRA. Most of these consisted of claims by customers against their brokers. Others included a claim by a former employee of a securities firm for improper termination, a claim by a company against a former employee for breach of his employment and non-disclosure agreements, and a claim by one brokerage firm against another for tortious interference.