Matters

Public and Private Companies – Establishing and Implementing Policies and Anti-Harassment Training

Works extensively with audit committees, boards of directors, legal departments, and HR professionals to create and implement policies and procedures, and conduct training programs designed to combat illegal harassment, discrimination and retaliation in the workplace. Advise and counseling also includes navigating companies through the evolving laws, executive orders and guidelines concerning Covid-19.

Luxury Art Auction House – Secured Dismissal of OSHA Whistleblower Retaliation Claim

The Occupational Safety and Health Administration (“OSHA”), part of the U.S. Department of Labor, dismissed a whistleblower retaliation complaint in its entirety, finding no probable cause that the former employee’s termination was due to the former employee’s raising of safety complaints, but rather based on legitimate performance and conduct issues, resulting in no liability to the employer.

Public Company – Secured Dismissal of Discrimination, Retaliation and Wrongful Termination Claims on Summary Judgment

NYS Supreme Court awarded summary judgment in favor of the employer, one of the largest independent owners, suppliers and operators of gasoline stations, finding that the former employee was not terminated because of his alleged disability or age, but rather for legitimate business reasons including egregious performance violations.

Property Owner/Manager – Secured Dismissal of Discrimination Claims

The New York State Division of Human Rights issued a finding of no probable cause and awarded a complete dismissal of claims in favor of the property manager, finding that the tenant was not subject to housing-based discriminatory practices related to familial status and/or race.

Israeli Defense, Aerospace and Aviation Company – Action Dismissed for Lack of Jurisdiction

Obtained dismissal of all claims asserted by a former employee against the largest Israeli defense, aerospace and aviation company. The plaintiff attempted to establish personal jurisdiction over the Israeli company in New York based on a theory that its wholly owned subsidiary operates as its domestic branch or “mere department” in the United States. While the trial court allowed the plaintiff to begin jurisdictional discovery, the Appellate Court reversed the trial court and dismissed our client from the litigation for lack of jurisdiction.

Global Automotive Distributor – Whistle-Blower Action

Herrick defended a global automotive distributor and a former executive in a whistle-blower action brought by another executive alleging violations of the Conscientious Employee Protection Act. The Plaintiff alleged our client retaliated against him by threatening to terminate him, passing him over for promotion and denying him certain compensation following a report of certain alleged activities. The matter was settled under confidential terms.

Non-Profit Organization – Defense of Discrimination Claim

Defended a non-profit organization against allegations of discrimination and retaliation brought by a former employee via a complaint filed in the Southern District of New York.

Non-Profit Organization – Outside Employment Counsel

Serving as outside employment counsel for the U.S.-based operations of an international non-profit organization. We work closely with both U.S. and global leadership on workplace policies along with anti-harassment and anti-discrimination training of personnel, day-to-day employment matters that arise, including offer letters and separation agreements.

Portfolio of Global Fashion Brands – Internal Harassment and Discrimination Investigation

Conducted an internal investigation for our client, a portfolio of global fashion brands, into claims of harassment and discrimination against a member of senior management. The investigation found no evidence of harassment or discrimination. We assisted the client in making sure the investigation was concluded in accordance with New York State and New York City laws.

Global Chocolate Manufacturer – Employment and Compensation Agreements

Herrick worked closely with the Legal and Human Resources teams of our client, a global chocolate manufacturer and distributor, with drafting employment and compensation agreements for executives located in the U.S. This included stock, option and bonus plans and advising on any tax-related considerations.

Retail Operator – Wrongful Termination

Herrick assisted our client, a retail operator, with the termination of a senior executive who had returned from a leave of absence. Due to the proximity of the decision to terminate the leave, and despite valid business reasons supporting the decision to terminate, the executive claimed that the termination resulted from a disability. We successfully executed a separation agreement providing for a release of possible claims, as well as confidentiality and non-disparagement provisions protecting the company.

Financial Institution – Successful Settlement in Discrimination and Wrongful Termination Dispute

Defended a publicly traded financial institution against pre-litigation claims asserted by a former employee who alleged their termination was a result of sex/gender discrimination in violation of federal and New York State and City laws and an alleged deferral of a bonus violated the New York Labor Law. After a significant investigation, the parties engaged in private mediation and the matter was successfully settled via a confidential settlement.

Insurance Broker – Secured Dismissal of Discrimination Claim

Herrick successfully defended a New York based insurance broker from actions filed by a former employee in state and federal court alleging race discrimination and retaliation under Title VII and the New York State Human Rights Law. Herrick moved to dismiss the complaint on the basis that the Plaintiff failed to comply with the strict 90-day deadline. The court dismissed the Plaintiff’s federal claims with prejudice and also dismissed her state law claims.

Underwriter – Complete Dismissal of All Claims in Complex Multi-Year Litigation

Defended underwriter against claims alleging misrepresentations and self-dealing in connection with a multi-million-dollar municipal bond offering. This included federal securities fraud claims as well as common-law claims for fraud, breaches of fiduciary duty, negligence, aiding and abetting. After several years of litigation, the United States District Court for the Southern District of New York, citing “blatant acts of bad faith” by the plaintiff, ultimately issued a final order dismissing the entire case against Herrick’s client.

Brokerage Firm – Dismissal of Discrimination Claims Upheld on Appeal

Successful defense of a luxury real estate brokerage firm in an action alleging discrimination based on sexual orientation and marital status in violation of New York State and City Human Rights Laws. Herrick secured the complete dismissal of the complaint in the trial court, and then successfully defended the ruling on plaintiffs’ appeal to the Appellate Division, First Department which upheld the dismissal, finding the plaintiffs had no cognizable claims against our clients who had sought to facilitate, not prevent, plaintiffs’ purchase of a cooperative apartment.

Residential Real Estate Broker – Restrictive Covenant Litigation

Secured the New York State Appellate Division, First Department's dismissal from a pending commercial litigation for lack of personal jurisdiction, finding that there was no personal jurisdiction solely on the basis of the corporate family’s New York presence.

Large Broker-Dealer – Employee Raiding Litigation

Represented a large broker-dealer in employee raiding litigation, brought by a competitor whose stock market valuation declined 24% following our client’s hire of a team of its credit and derivatives brokers. Following oral argument, the New York Supreme Court denied the plaintiff’s motions for a temporary restraining order and a preliminary injunction, which allowed the employees to work for our client.

Management Agent – Partnership Dispute

Negotiated a favorable settlement for a managing agent and its principals in a partnership dispute involving a real estate development venture in New York State. Prior to reaching the settlement, Herrick secured a number of advantageous rulings, including the pre-trial dismissal of three claims, which positioned our clients well in the negotiations that led to the partnership’s sale of its leasehold interest in the property.

Broker-Dealer – FINRA Employment Arbitration

Represented a broker-dealer in a complex employment arbitration brought by six former employees seeking over $10 Million in collective damages. This FINRA arbitration proceeded for 60 sessions, including 32 hearing days, and resulted in a virtually complete defense verdict for the firm, including for attorneys' fees. The award was confirmed in its entirety by the Southern District of New York.

Auctioneer and Appraiser of Fine Art – Various Employment Matters

Represent an auctioneer and appraiser of fine art in a range of employment matters. We work closely with Human Resources on day-to-day employment matters that arise, including general risk management advice, guidance on restrictive covenants (including non-solicitation and non-competition provisions) and policies preventing the disclosure of confidential or proprietary information and trade secrets. We have also designed and conducted anti-harassment and anti-discriminatory training for our client’s managers and staff with the goal of preventing disputes, improving the work environment and complying with applicable law.

Global Apparel Company – Various Employment Matters

Herrick represents a global apparel manufacturer and importer in a range of employment matters. This includes drafting and implementing the company’s handbook and policies and counsel regarding day-to-day employment questions or issues that arise. We have assisted our client in all aspects of Reduction in Force and re-organizations, including a full impact analysis.

Claim Based on Company’s Compliance with Vaccine Mandate Dismissed

The New York State Division of Human Rights awarded a complete dismissal of all claims in favor of a real estate management company. The Division found that the former employee’s termination was not discriminatory, but rather due to her failure to comply with the NYC Vaccine Mandate and therefore her termination was not wrongful.

New York City Real Estate Portfolio – Member Disputes/Mismanagement and Self-Dealing Action

Represented the majority owners of a New York City real estate portfolio in an action commenced by minority members, obtaining the dismissal of claims seeking to hold the members personally liable for looting, self-dealing and diversion of corporate assets.

Publicly Traded Company – Government Investigation

Represented a public company in the internal investigation of a senior officer who had engaged in bribery and self-dealing, resulting in significant monetary damages. Through civil litigation, and assistance from government authorities, Herrick was able to obtain full restitution for the company.

Represented Property Owner/Manager Charged with Discrimination in Housing Based on Sex

The New York State Division of Human Rights issued a finding of no probable cause and awarded a complete dismissal of all claims in favor of the property manager, finding that a tenant was not subject to discrimination based on sex and/or status as a victim of domestic violence.

Residential Real Estate Management Company – Secured Dismissal of Discrimination Claims

The City of New York Commission on Human Rights awarded a complete dismissal of all discrimination claims in favor of a residential real estate management company, finding that the potential tenant was not denied a property rental based on her disability.

Energy Supply Company – Secured Dismissal of Age Discrimination Claim

The New York State Division of Human Rights awarded a complete dismissal in favor of our client, an energy supply company, finding that its former employee was not subject to discrimination or a hostile work environment based on age.

Commercial Bank – Secured Dismissal of Whistleblower Claims

Occupational Safety and Health Administration (OSHA) issued a finding of no reasonable cause dismissing claims brought by former bank employee who alleged that her termination violated federal whistleblowing laws.

Real Estate Management Company – Secured Dismissal of Discrimination and Retaliation Claims

The New York State Division of Human Rights awarded a complete dismissal of all discrimination claims in favor of a large real estate management company. The Division found that the former employee was terminated for legitimate business reasons, including egregious performance violations, and not based on age, disability, national origin, race or sex.

Claim Brought by Tenant under Housing Laws – Secured Dismissal

The New York State Division of Human Rights awarded a complete dismissal of all discrimination claims in favor of a real estate management company, finding that the potential tenant was not refused a property rental based on age and national origin.

Waste Management Company – Secured Dismissal of Discrimination Claims

The New York State Division of Human Rights awarded a complete dismissal of all discrimination claims in favor of a waste management company, finding that its former employee was not subject to discrimination based on disability.

Residential Brokerage – Raiding Dispute Favorably Resolved

Represented a major residential brokerage firm in a high-profile raiding dispute involving the improper recruitment of a former manager of one of our client’s key regional offices by a venture capital-backed competitor. This litigation was resolved favorably under a settlement agreement which imposed restrictions on any future recruitment of our client’s executives by the competitor in addition to certain financial terms.

Investment Bank – Restrictive Covenant Dispute

Represented a boutique investment bank in the pre-litigation resolution of a dispute with two former executives believed to have breached their employment agreements by misappropriating confidential information and soliciting clients after resigning their positions at the firm to join a direct competitor.

Commercial Bank – Dismissal of Claims in Age Discrimination Litigation

Represented a U.S. commercial bank in connection with securing the dismissal of the majority of claims against it that were filed by a former executive of the bank over age discrimination allegations.

Inter-Dealer Brokerage Firm – $500 Million Raiding Case

Represented the U.S. affiliate of a billion-dollar inter-dealer French brokerage firm in a large "key employee raiding case" brought by a competitor whose stock market valuation declined 24% (approximately $450 million) on the day following our client’s hire of approximately 20 of its credit derivatives brokers and employees. Following an intense oral argument by Herrick and other firms aligned with our client, a New York Supreme Court denied the plaintiff’s motion for a temporary restraining order and later denied a motion for preliminary injunction in rulings which allowed the subject employees to work for our client. The dispute then moved to a FINRA arbitration where we defended hundreds of millions of dollars in claims. After more than 240 hearing sessions, the matter was fully settled and all claims withdrawn.

Asset Management Company – Employment Issues

Represented one of the leading independent asset management companies in its defense of a wrongful termination action claiming religious discrimination, and in a separate action claiming discrimination based on disability. We continue to represent the company in all aspects of its employment disputes, and in risk management issues.

Financial Services Firm – Allegations of Theft of Confidential Information / Wrongful Solicitation of Clients

Represented key employees of financial services firm in a case brought by a competitor alleging misappropriation of confidential information and wrongful solicitation of clients.

World-Class Asset Integrity Management – Employment Litigation

Represented a global asset integrity management company in the award of an injunction restraining competitor and key employees from raiding workforce, misappropriating confidential information and solicitation of customers.

Foreign Consultant – Successfully Defended in Payment Dispute

Awarded motion to dismiss on jurisdictional grounds in lawsuit brought against Herrick’s client, a foreign consultant, by an entity attempting to claw back valuable compensation.

Non-profit Organization – Employee Restructuring Plan

Advised a non-profit organization with a restructuring plan involving management level employees, which included eliminating several roles and implementing new positions.

Carol M. Goodman, Partner