Litigation and Arbitration
Peter recognizes the costs, time lost, distractions, and risks his clients face when they litigate or arbitrate complex disputes with customers and other firms. He strives to resolve these disputes through negotiations with opposing counsel, and, when appropriate, through mediation. But, when disputes cannot be settled, he represents his clients vigorously in federal and state courts at trial and on appeal, and in arbitration proceedings before FINRA, NFA, AAA, JAMS, and ADR Systems of America. Some of these cases have involved:
- Defending an FCM against a Bankruptcy Trustee’s Claims to Claw Back Pre- and Post-Petition Transfers in the Sentinel Management Group case involving more than $500,000,000 in Customer Segregated Funds
- Defending a Bank in a Class Action involving its Duties as Paying Agent in a Securities Fraud Case
- Defending an FCM in a Case Involving a PONZI Scheme Perpetrated by another Brokerage Firm
- Prosecution of a Senior Manager’s Claims against an Investment Adviser for Compensation Earned Managing three Portfolios of Collateral Debt Obligations (CDO), Mortgage Backed Securities (MBS) and Other Derivatives Worth $1.2 Billion
- Prosecuting a Claim against a U.S. Firm for Ignoring “Red Flags” relating to a PONZI scheme, which was Perpetrated by a Foreign Investment Adviser
- Defense of Claim Made by one CBOE Market Maker against another CBOE Market Maker relating to Losses Sustained in their Partnership Account
- Defense and Prosecution of Claims between Exchange Members relating to Out Trades
- Claims Involving a Broker-Dealer’s Liability for an Independent Broker’s Activities in “Trading Away” Cases
- Prosecution of Claims relating to the Wrongful Termination of Employment of Senior Managers, Shareholders, and Other Employees
- Prosecution of a Claim against Investment Adviser regarding Misrepresentations made about the Minimum Death Benefit under an Annuity Contract
- Prosecution of Claims relating to the Duties a Foreign Broker and a U.S. Broker Owe Each Other regarding Customers Residing in Germany, Switzerland, and Spain