Cases
Experience: Financial Services Litigation Representative Experience: Represented broker dealer
financial advisor in FINRA arbitration
obtained an award recommending expungement
dismissing the Claimant's claims in their entirety, which included claims for breach of fiduciary duty, unsuitability, negligence, fraud
breach of contract.
Represented broker dealer
financial advisor in FINRA arbitration
obtained an award dismissing the Claimant's claims in their entirety, which included claims for unsuitability, churning, unauthorized trading, fraud, failure to supervise
negligent supervision.
Obtained order dismissing an $8 million FINRA claim against financial services firm on the grounds that it was ineligible for arbitration.
Represented broker dealer
financial advisor in investigations by FINRA
state security commissions.
Internal Investigations Representative Experience: Conducted internal investigation for software company
obtained a declination letter from DOJ after the company voluntarily disclosed potential violations of the FCPA.
Conducted internal investigation for multinational technology company into potential FCPA violations
drafted annual compliance reports to DOJ
SEC.
Conducted internal investigation for global science company into shareholder allegations that certain directors
officers breached fiduciary duties, committed waste
were unjustly enriched.
Criminal Litigation Representative Experience: Obtained dismissal of a felony complaint charging three counts of alleged insurance fraud.
Defended the former CFO of a public company in connection with a securities fraud
bank fraud action.
Defended the founder of a real estate investment company against charges of mail fraud, wire fraud
securities fraud in connection with an alleged $150 million scheme to defraud more than 1,000 investors.
Civil Litigation Representative Experience: Represented semiconductor company in successful two-week trial on claims for breach of contract after obtaining an order granting summary judgment on claims for fraudulent concealment
unfair
fraudulent business practices.
Represented former CEO of a failed bank in connection with shareholder claims asserting securities laws violations
investigations by the U.S. Senate Permanent Subcommittee on Investigations, Office of Thrift Supervision,
FDIC. In re. Washington Mutual, Inc. Securities, Derivative & ERISA Litig ., 08-MD-1919 (W.D. Wash.).
Represented leading provider of financial services to institutional investors in private lawsuits
class actions arising out of investments in complex structured financial products for certain actively managed, fixed income investment funds. In re. State Street Bank
Trust Co. Fixed Income Funds Investment Litig ., No. 08 MDL 1945 (S.D.N.Y.).
Represented third-party supplier of hardware
software support services in connection with claims for misappropriation
distribution of copyrighted, proprietary software code.
The above representations were h
led by Mr. Palmer prior to his joining Greenberg Traurig, LLP.
