Independent Directors – Internal Investigation
Represented the independent directors of a public corporation in conducting an internal investigation into shareholder derivative claims.
Real Estate Management Company – Tax Protection Dispute
Represented a real estate management company in defending against a multi-million dollar claim that it breached a tax protection agreement with a property owner that contributed an office building to the partnership. The property owner claimed that the tax protection agreement was triggered by the real estate company's merger with another company.
Severodonetsk Azot – Stopping Improper Government Seizure of Privatized Plant in Ukraine
Representation of a U.S.-based chemical company in a hard-fought dispute over the massive chemical plant, Severodonetsk Azot, in Eastern Ukraine. Corrupt political forces in Ukraine took control of our client’s plant through the commencement of a bogus lawsuit in Kiev and the outright seizure of the plant by a private militia. Herrick argued an appeal in Kiev’s court of appeals and also met, in Kiev, with Ukrainian ministries and the U.S. Embassy as part of a concerted effort to exert political pressure on the Ukrainian government to end the illegal actions.
As part of these efforts, Herrick alerted the New York Times to situation and the Times, in investigating the story, uncovered that the political dispute over the Severodonetsk Azot plant had led to Ukrainian President Yushchenko dismissing his prime minister and the rest of her government. See Deal for Ukraine Company Renews Charges of Abuse (The New York Times, Sept. 15 2005). The Ukrainian Supreme Court ultimately reversed the Kiev court and upheld our client’s ownership of the plant.
Real Estate Developer – Mitchell Lama Contract Dispute
Represented a major developer in enforcing a $100 million contract to sell a Mitchell Lama project on Roosevelt Island, New York. The trial court dismissed our complaint, but the Second Department, relying on our legal arguments, reversed the lower court and permitted the claim for specific performance to move forward. (R.I. Island House LLC v. North Town Phase II Houses, Inc. (2nd Dep't, May 2008)).
Congregation Yetv Lev D’Satmar, Inc. v. 26 Adar N.B. Corp. – Religious Corporations/Title Dispute
Appearance as amicus curiae on behalf of the New York State Land Title Association in an important appeal involving issues under New York's Religious Corporations law. Congregation Yetev Lev D'Satmar, Inc. v. 26 Adar N.B. Corp., 641 N.Y.S.2d 680 (2nd Dep't 1996)
Real Estate Developer – Mixed-Use Conversion Case
Successfully represented a real estate developer in litigation over its right to convert a building it purchased from office/retail use to mixed office/retail and residential use.
Former CEO – SEC Investigation
The former CEO of a major fiber optic company in an SEC investigation of accounting irregularities. After a grueling deposition and an in-depth Wells Submission, the SEC determined not to pursue any action against our client.
The Goodyear Tire & Rubber Company – Product Liability Litigation
Represent Goodyear in product liability matters involving tires, rims, hoses, inflation tools, roofing products, retail stores and related real estate issues.
Hedge Fund Collapse – SEC Investigation
Representation of the chief operating officer of a $1 billion hedge fund in connection with an SEC investigation into the fund's collapse and liquidation.
Retail Brokerage – NYSE Investigation
Representation of a national retail brokerage firm in claims brought by the Enforcement Division of the New York Stock Exchange relating to proxy procedures used on an industry-wide basis. The case was favorably resolved after discovery.
Real Estate Management Company – Repair and Restoration Dispute
Representation of a Manhattan real estate management company in a long-running dispute with a neighbor over the repair and restoration of a chimney. Immediately following a half-day bench trial, the justice ruled from the bench in favor of our client in the full amount claimed plus interest and attorneys' fees.
Religious Corporation – Control Dispute
Representation of the interests of an heir to the leadership of a major religious corporation in fending off a challenge from a rival faction for control of the community's institutions and organizations. In the Matter of Congregation Yetev Lev D'Satmar Inc., 31 A.D.3d 541 (2d Dep't 2006), aff'd, 9 N.Y.3d 282 (2007) and Congregation Yetev Lev D'Satmar of Kiryas Joel, Inc. v. Congregation Yetev Lev D'Satmar Inc., 31 A.D.3d 480 (2d Dep't 2006).
S. Rothschild & Co., Inc. – Cybersquatter Eviction
Represented S. Rothschild & Co. in its successful UDRP arbitration against a cybersquatter to recover a domain containing our client's registered trademark. S. Rothschild & Co., Inc. v. Bao Shui Chen, NAF Decision (Dec. 29, 2007)
Medical Device Company – Employment Contract Litigation
Represented a medical device company, and two individuals in a litigation brought in New Jersey state court by a competitor. The plaintiffs claimed that our clients had violated restrictive covenants in two former employees' contracts, and sought injunctive relief and damages. The Court denied injunctive relief, and the case settled before discovery with no payment by our clients.
Medical Device Company – Raiding
Represented a medical device company in avoiding litigation threatened by a competitor over our client's hiring of several of the competitor's employees.
Finance Company – Ponzi Scheme Foreclosure
Representation of a finance company in its foreclosure of a commercial property placed in receivership due to the collapse of an alleged Ponzi scheme by the ownership entity.
Woolsulate – Lurgi Lentjes Arbitration
Representation of Woolsulate Corp., a New Jersey insulation contractor, in pursuing claims in mediation and arbitration against Lurgi Lentjes, a German energy company, to recover amounts due for services provided by Woolsulate at a PSE&G facility in Trenton, New Jersey.
Real Estate Developer – Construction Litigation
Represented a real estate developer in a multiparty litigation involving alleged construction defects resulting from the conversion of a 17-story refrigerated building into a condominium property. Herrick replaced prior counsel, and was able to quickly settle lawsuits that had been pending in both federal and state court in New York for over a year.
Manufacturing Company Executive – Internal Investigation
Represented the former Executive Vice President of a large manufacturing company in an internal investigation of alleged materials theft.
Boards of Directors – Internal and SEC Insider Trading Investigations
Conducted an insider trading investigation on behalf of the boards of directors of two affiliated publicly owned computer software companies, and represented them in a related SEC investigation.
Financial Services Company – Internal and Grand Jury Investigations
Conducted an internal investigation for a major international financial services corporation concerning allegations that company employees had provided false customer account information to another financial institution. We also represented the company in a related New York state grand jury investigation.
Securities Brokers – State Insurance Department Investigation
Representation of more than 275 securities brokers of a number of national retail brokerage firms in proceedings before the NY State insurance department on issues concerning annuity exchanges (regulation 60 violations). We were successful in convincing the department to drop approximately 90% of the cases with no formal action and received favorable settlements in the case of the other 10% of the other advisors.
Pharmaceutical Company – Insider Trading Investigation
Represented the senior management of a pharmaceutical company in an SEC insider trading investigation of a PIPE offering.
Commodities Broker – Civil Litigation
A leading futures and options broker in a civil litigation stemming from a $200 million fraud perpetrated by a hedge fund manager.
Retail Brokerage – Federal Investigation
Representation of a national retail brokerage firm in a joint U.S. Attorney/SEC investigation of illegal "frontrunning" trading activity.
Retail Brokerage Branch Manager – NASD Charges
Successful defense of a branch manager of a national retail brokerage firm. Following a hearing, the hearing panel dismissed all of the NASD's charges, including allegations of supervisory failures. The dismissal was upheld on appeal by the NASD to the NASD's National Adjudicatory Council.
Title Insurance Company – Fraud Action
Representation of a title insurance company in obtaining a $1.4 million judgment and attachment of the defendants' bank accounts in a fraud action.
Pen Manufacturer – Trade Dress Claim
Successful defense of our client against trade dress claims brought by Montblanc over its "three-ring" pen design. We reached a settlement with no economic impact on our client. Montblanc-Simplo GMBH v. Omas SRL and Marcovici Designs, Inc., No. 97 Civ. 2055 (S.D.N.Y. 1997)
International Businesses – U.S. IP Rights
Represented various non-U.S. businesses in protecting their IP rights in the U.S., including a well-known UK apparel designer, a famous British artist, French technology companies, a Scandinavian media company, a French filmmaker, and a public Canadian technology company.
Kaufman & Fisher Wish Company, Ltd., v. F.A.O. Schwarz
Successful defense of trade dress claims involving plush dolls. Kaufman & Fisher Wish Company, Ltd., v. F.A.O. Schwarz, 184 F.Supp.2d 311 (S.D.N.Y. 2002), aff`d, (2d Cir. order, Oct. 31, 2002)
Judith Ripka Designs, Ltd. v. Penny Preville, Inc.
Successful defense of a high-end jewelry designer at trial against claims of copyright and trade dress infringement. Judith Ripka Designs, Ltd. v. Penny Preville, Inc., 935 F. Supp. 237 (S.D.N.Y. 1996)
Merck & Co., Inc. v. Vioxx
Representation of the defendant/counterclaimant (an established bio-medical glass manufacturer) in a declaratory judgment action for trademark infringement, based on the Vioxx arthritis drug name. We obtained a very favorable settlement for our client. Merck & Co., Inc. v. Vioxx (ED Pa. 2000)
Recording Artist and Music Publisher – Digital Copyright Infringement
Represented a recording artist and an international music publishing company in a federal court action for copyright infringement involving digital sampling of a sound recording.
1960’s Singing Group – Trademark Infringement
Kelly v. Duprees MJA, LLC, 2012 U.S. Dist. LEXIS 40597 (D. N.J. March 23, 2012). Represented the Estate of Michael Arnone, a co-founder of the famous 1960's vocal harmony group The Duprees, and its assignee, Duprees MJA, in obtaining summary judgment dismissing all claims alleging fraud on the USPTO, common law trademark infringement and violation of the New Jersey "Truth in Music" Act. The case was brought by a former singer who had joined the Duprees group in 1964, two years after they already had their first major hits, and left the group in the late 1970s, never to perform again. The dismissal on the merits brings to a close a six-year battle over the rights to the DUPREES name and rejects the notion that early members of a performing group can claim rights in the group's name if they abandon the group without securing a partnership agreement to the contrary or a license.
Hotel des Artistes, Inc. v. Cafe des Artistes, Inc.
Represented the Hotel des Artistes in TTAB cancellation proceedings, which resulted in the Hotel des Artistes recovering the famous Cafe des Artistes trademark registrations. Hotel des Artistes, Inc. v. Cafe des Artistes, Inc. (TTAB 1999)
F.A.O. Schwarz v. Zuccarini, Nat`l Arb. Forum
Successfully represented F.A.O. Schwarz in a domain name arbitration awarding our client ownership of four Internet domain names registered in bad faith by a renowned cybersquatter. F.A.O. Schwarz v. Zuccarini, Nat`l Arb. Forum (Dec. 1, 2000)
Galet v. Carolace Embroidery Products Co., Inc.
Successful defense of various corporate clients in computer software copyright infringement actions. Galet v. Carolace Embroidery Products Co., Inc., 32 U.S.P.Q.2d 1830 (S.D.N.Y. 1994), aff'd, 122 F.3d 1056 (2d Cir. 1995).
Major Paint Manufacturer – Lead Paint Nuisance Claim
Successful defense of a major paint manufacturer in a suit in which the New Jersey Supreme Court held that a public nuisance claim brought by 26 cities and counties seeking lead paint abatement and healthcare costs failed as a matter of law.
Individuals – Insider Trading
Representation of two foreign citizens in connection with an SEC lawsuit alleging insider trading of Dow Jones' stock.
Consumer Products Manufacturer – Product Liability
Defense of a major international consumer products manufacturer in actions arising from misuse of personal care products.
Pharmaceutical Company – Product Liability and Consumer Fraud
Defense of a major pharmaceutical manufacturer in a national litigation involving claims of failure to warn and consumer fraud.
Global Manufacturer – Favorable Settlement in Legal Malpractice Litigation
Negotiated a favorable settlement on behalf of a Fortune 500 manufacturer to resolve a legal malpractice action brought against the client’s former counsel, a national law firm, in connection with the firm’s representation of the client in a multi-million dollar product liability litigation. The settlement was reached on the day of jury selection following a ruling granting our client summary judgment on the issue of the defendant’s malpractice.
Significant Settlement for Former Willowbrook Class Member
Secured a $562,000 settlement on behalf of a pro bono client with profound developmental disabilities to resolve actions filed in the Southern District of New York and New York Court of Claims asserting Section 1983, constitutional and negligence claims against government employees who abused the client or allowed her to be abused. Prior to reaching the settlement agreement, Michael successfully opposed motions for summary judgment filed by high-ranking officials named as defendants. (Prior Firm Experience)
National Energy Services Provider – Consumer Fraud Class Action
Defense of the affiliate of a national energy services provider in a consumer fraud class action filed in Pennsylvania federal court by plaintiffs claiming to have been “locked” into variable rate contracts charging purportedly inflated rates for electricity.
Breach of Contract, Fraud and Unjust Enrichment Claims against Brazilian Bank
Successfully represented a U.S. specialty food manufacturer and importer in litigation filed in New Jersey federal court asserting breach of contract, fraud and unjust enrichment claims against a Brazilian bank and certain suppliers in connection with the bank’s alleged improper drawing on a standby letter of credit arranged by our client to finance the manufacture of food products in Brazil. After obtaining a recommendation from the Magistrate Judge, later confirmed by the district court, denying the bank’s motion to dismiss for lack of personal jurisdiction, Herrick secured a favorable settlement that resolved claims against the bank and later obtained a default judgment against the Brazilian supplier entities.
Electricity Supplier – TCPA Class Action Favorably Resolved
Negotiated a favorable settlement on behalf of a national electricity services provider to resolve a putative class action filed in New Jersey federal court by a plaintiff alleging violations of the Telephone Consumer Protection Act (TCPA).
Turkish Exporter – Favorable Jury Verdict and Judgment in Breach of Contract Litigation
Obtained favorable jury verdict and judgment on behalf of a Turkish furniture exporter asserting breach of contract claims in New Jersey federal court against a former business partner and the former head of the client’s U.S. affiliate.
Global Manufacturer – Vendor Contract Dispute
Representation of a global manufacturer in resolving breach of contract claims filed in New York state court by a travel services consortium in connection with an agreement to provide global travel management services.
Commercial Bank – Pre-Trial Dismissal of Negligence Claims
Obtained pre-trial dismissal of negligence claims against a commercial bank in connection with a former employee's misappropriation and embezzlement of plaintiff's assets.
National Drugstore Chain – Dismissal of Purported Class Action
Successfully argued summary judgment motion obtaining dismissal of all claims against a national drug retailer targeted in a proposed class action lawsuit asserting claims for fraud and violations of the NY General Business Law.
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