Prominent Doctor – Healthcare Fraud Investigation
Successfully defended a renowned doctor in an Anti-Kickback and Stark Law investigation conducted by the US Attorney’s Office and the Department of Justice’s Health Care Fraud Task Force.
Matters
Non-profit – Summary Judgment Granted in Alleged Malpractice Dispute
Herrick secured a significant victory for a legal non-profit agency, obtaining summary judgment dismissing all claims against the organization in an action brought under the Adult Survivors Act. In this matter, the Plaintiff asserted negligent hiring and supervision claims based on alleged misconduct by the organization and an attorney. The Court agreed with Herrick that plaintiff failed to raise any triable issue of fact that the organization knew or should have known of any alleged propensity by the attorney to engage in the conduct at issue, and dismissed the claims in their entirety.
Global Parking Management Company – Motion to Dismiss Granted in Class Action
On behalf of a global parking management company, secured dismissal of a federal class action pending in South Carolina concerning on-street parking enforcement.
Real Estate Developer – Arbitration Win
On behalf of a Manhattan residential real estate developer, obtained a ruling of no liability on a breach of fiduciary duty claim brought by a partner in a major AAA arbitration.
Investment Bank – Favorable Settlement in Commission Dispute
After litigation in New York Supreme Court Commercial Division, successfully secured settlement on behalf of investment banking client in significant commission dispute with former client.
Options Trader – SEC Regulatory Compliance and Enforcement Advisory
Advised significant West Coast based options trader on Large Trader SEC regulatory compliance and related enforcement issues.
Prominent Wealth Advisor – Internal Investigations and Government Inquiries
Successfully defended a wealth advisor from a global financial services firm in both an internal investigation and inquiries from FINRA and the CFB Board arising from allegations of unauthorized, risky trades that resulted in losses to a client’s accounts. Herrick negotiated the advisor’s exit from the firm and assisted in an effective transition to new firm. Additionally, the team fended off the inquiries from the government agencies, resulting in no-action letters for the advisor.
Commercial Real Estate Lender – “Springing Member” Summary Judgment
Obtained summary judgment in New Jersey Chancery Court on behalf of a commercial real estate lender installing our client as the “Springing Member” of an LLC in default of its obligations to its lenders.
Private Lender – Multiple State and Federal Litigations
Represented a private lender in connection with multiple state and federal litigations related to a significant commercial property in Upper Saddle River, New Jersey.
Major Legal Services Provider – Dismissal of Fraud and Federal Civil Rights Complaints
Represented a major legal services provider and two of its lawyers in successfully obtaining the dismissal of a sprawling 18 count fraud and federal civil rights complaint in the Southern District of New York.
Investment Bank – Favorable Resolution in Arbitration Initiated by Former Managing Director
Successfully represented an investment bank in an arbitration involving unpaid fees allegedly owed to a former registered representative. After an evidentiary hearing, the three-member panel dismissed all of the representatives claims, awarded them zero dollars and declined to refer the matter to FINRA enforcement.
Broker-Dealer – FINRA Arbitration
Represented the U.S. Broker-Dealer division of an Israeli bank in a FINRA industry arbitration.
Public Company – Investigation of Potential Illegal Short Selling
Retained by public company to investigate potential illegal short selling of company's stock.
Nationally Renowned Content Creator – Business Divorce
Represented a nationally renowned podcast host and author in an eight-figure business divorce.
Broker and Wealth Manager – Criminal and Regulatory Fraud Investigation
Defended a broker and registered wealth manager in parallel fraud investigations conducted by the U.S. Attorney’s Office for the District of Connecticut, the SEC and FINRA.
Hotelier and Restaurant Developer – SEC Receivership Clawback Litigation
Secured an extremely favorable settlement on behalf of a prominent national hotelier and restaurant developer in connection with an aggressively litigated action commenced by an SEC appointed receiver in the United States District Court for the District of New Jersey.
Executive – Fraud Action
Represented a prominent foreign investor in an affirmative fraud action against an alternative energy broker and a related law firm.
Broker – FINRA Investigation
Represented a broker in a FINRA investigation into improperly soliciting investments away from the firm.
Executive – Internal Investigation
Represented the CEO of a wealth management firm in an internal investigation into selling away and improperly executing client documentation.
Senior Trader – FINRA Investigation
Represented a senior trader of a financial institution in a FINRA investigation alleging market manipulation.
Broker-Dealer – FINRA Arbitration
Represented an investment bank and broker dealer in a FINRA arbitration alleging the wrongful withholding.
Physician – Anti-Kickback and Stark Law Investigation
Represented a world-renowned physician in an Anti-Kickback and Stark Law investigation in front of the United States Attorney’s Office.
Global Parking Company – ERISA Litigation
Successfully represented an international parking company in an ERISA litigation in the Southern District of New York.
Activist Investor – SEC Insider Trading Investigation
Successfully defended a principal of a prominent activist fund in an insider trading investigation conducted by the SEC.