Arthur S. Greenspan is a litigation partner at Richards Kibbe & Orbe LLP in New York City. He represents financial services firms and other corporate clients, as well as individuals, in securities and commercial litigation and governmental and regulatory investigations. He has particular expertise in defending claims or investigations alleging securities fraud, accounting and disclosure violations, insider trading, and antitrust violations. He also has substantial experience in litigating trading and transactional disputes.
Mr. Greenspan has been recognized in New York Super Lawyers in the area of securities litigation (2007-2011). He is a Vice President of the Federal Bar Council, and he recently served as President of the Federal Bar Council American Inn of Court (2009-2010). He received a Bachelor of Science in Engineering degree, summa cum laude, from Princeton University in 1986, and graduated magna cum laude from Harvard Law School in 1989. He served as a law clerk for Judge John M. Walker, Jr., of the United States Court of Appeals for the Second Circuit in 1989-1990.
Harold Gordon has served as lead trial counsel in multiple jury trials, arbitrations, and evidentiary hearings and as industry liaison counsel in class action litigation. He also frequently represents companies and individuals in SEC and internal board committee investigations and enforcement proceedings. Harold has represented clients in securities, corporate, commercial, and products liability matters in New York and other jurisdictions across the country.
Harold's recent representations include the sellers of an aviation facility in a multimillion dollar arbitration, Brown & Williamson Holdings in a multiweek jury trial culminating in a directed verdict on behalf of Brown & Williamson, and the CEO of a telecommunications company in litigation pursued by the New York Attorney General's Office. He also has recently represented a public technology company, public insurance company, and a chief financial officer in separate SEC investigations.
Harold is a member of the ABA, NY Bar Association, the City Bar, and the Association of SEC Alumni. He also is a member of the Federal Bar Council Inn of Court Program. In addition, he is a member of the Professional Advisory Board of the NYU Journal of Law & Business and an Advisory Fellow for The Heyman Center on Corporate Governance at the Cardozo Law School. He is a member of the Executive Committee of the Cardozo Law School Alumni Association.
HONORS & DISTINCTIONS
Selected as a "Super Lawyer" by Super Lawyers magazine in the category of business litigation "Career Development" columnist for the New York Law Journal for 2004 and 2005
Branch Chief (1991) and Staff Attorney (1988-1990), Division of Enforcement, United States Securities and Exchange Commission, New York Regional Office
Jordan Eth is co-chair of the firm’s Securities Litigation, Enforcement, and White-Collar Defense Group. He is one of the nation’s leading securities litigators, representing public companies and their officers and directors in securities class actions, SEC investigations, derivative suits, mergers and acquisitions litigation, and internal investigations. In 2008, Mr. Eth received a California Lawyer Attorney of the Year Award for co-leading the successful defense of JDS Uniphase Corp. and its former executives in a securities class action jury trial seeking $20 billion in damages.
Mr. Eth has more than 30 years of experience handling complex and high- stakes litigation. He has represented dozens of companies and individuals in a broad range of industries, including financial services, computer software and hardware, life sciences, and consumer products.
Mr. Eth is recommended by multiple publications including Chambers USA: America’s Leading Lawyers for Business; Legal 500 US; The Best Lawyers in America and Benchmark Litigation. In 2010, he was selected by his peers as one of Law360’s 10 Most Admired Securities Attorneys. Clients have described him as “deeply knowledgeable and experienced and a natural leader without ego issues; he thinks strategically and is extremely responsive, realistic, and clear in his assessments of situations.” “Jordan understands the CEO mentality with respect to securities actions and navigates the corporate politics of these matters with the same expertise with which he handles the legal case; Jordan is true to his pitch that he will handle the case in a cost-efficient manner.”
Mr. Eth received his B.A. in Economics from Swarthmore College, with highest honors and Phi Beta Kappa, and his J.D. from Stanford University, Order of the Coif. At Stanford, he was Co-President of the Moot Court Board.
Mr. Eth served as a law clerk to the Honorable Chief Judge Robert F. Peckham, U.S. District Court for the Northern District of California, from August 1985 through August 1986. From 1980 through 1982, he worked as an economist in Washington, D.C., first for the United States Department of Energy and then for the Budget Committee of the United States House of Representatives.
Swarthmore College (B.A., 1980)
Stanford Law School (J.D., 1985)
Chambers USA 2007–2015
Recognized as a Leading Securities Litigation Lawyer
The Legal 500 US 2008–2015
Recognized in the area of Securities: Shareholder Litigation
The Best Lawyers in America 2008–2016
Recognized for Bet-the-Company Litigation, Commercial Litigation and Securities Litigation
"Robbins Geller, with its forensic accounting and investigation skills and top-notch professionals, is the dominant securities fraud class action firm."
Henry Rosen has significant experience prosecuting every aspect of securities fraud class actions, including large-scale accounting scandals, and has obtained hundreds of millions of dollars on behalf of defrauded investors.
Henry Rosen obtained his Bachelor of Arts degree in 1984 from the University of California after attending the American College in Paris. In 1988, Mr. Rosen received his Juris Doctor degree from the University of Denver, where he was Editor-in-Chief for the University of Denver Law Review. Mr. Rosen served as Judicial Law Clerk to the Honorable Jim R. Carrigan, United States District Court, District of Colorado, from 1989 to 1990. He is a member of the Firm's Hiring Committee and is also a member of the Firm's Technology Committee, which focuses on applications to digitally manage documents produced during litigation and internally generate research files.
Major clients include Minebea Co., Ltd., a Japanese manufacturing company represented in a securities fraud arbitration against a United States investment bank. Mr. Rosen has significant experience prosecuting every aspect of securities fraud class actions and has obtained hundreds of millions of dollars on behalf of defrauded investors. Prominent cases include: In re Cardinal Health, Inc. Sec. Litig., in which Mr. Rosen recovered $600 million for defrauded Cardinal Health shareholders. This $600 million settlement is the largest recovery ever in a securities fraud class action in the Sixth Circuit, and remains one of the largest settlements in the history of securities fraud litigation. Additional recoveries include In re First Energy ($89.5 million recovery); Stanley v. Safeskin Corp. ($55 million recovery); In re Storage Tech. Corp. Sec. Litig. ($55 million recovery); and Rasner v. Sturm (FirstWorld Communications) ($25.9 million recovery).
State Bar of California, Member American Bar Association, Litigation Section, Member Association of Trial Lawyers of America, Member California Trial Lawyers of America, Member California Trial Lawyers Association, Member San Diego Trial Lawyers Association, Member
Marc De Leeuw joined Sullivan & Cromwell LLP in 1994 and has been a partner since 2001. His litigation practice includes representing clients in a variety of areas, including on securities, intellectual property, antitrust, real estate, contract, insurance and many other commercial matters.
Marc has represented clients before arbitration tribunals, New York and New Jersey state trial and appellate courts, numerous federal district courts and Courts of Appeals and the U.S. Supreme Court. He has participated in trials and arbitration hearings in a variety of cases.
Among the securities matters he has handled include:
Marc serves on the Board of Directors of MFY Legal Services, has represented a host of pro bono clients, and has been a speaker at conferences involving securities, investment company and patent litigation.
Adam Hakki is the Firm’s Global Managing Partner. He is also Global Head of the Firm’s Litigation Practice and Disputes Unit, maintaining a full time litigation and government investigation practice, with particular focus on securities, antitrust, and corporate governance matters, both civil and criminal. Adam regularly appears in the courtroom, boardroom and before the Department of Justice, Securities and Exchange Commission, CFTC, FINRA, and other regulators. With decades of experience, Adam is seasoned in crisis management and a first-choice counsel to the financial industry for major cases and investigations. Adam also frequently represents companies, directors and senior executives in other industries, especially healthcare, energy/oil and gas, technology and media. For two of the last three years, Benchmark Litigation named Adam the sole “Securities Lawyer of the Year” for the entire United States.
Adam authored the chapter on damages in Litigating Securities Class Actions (Eisenberg, J., editor, LEXIS/NEXIS publisher), a comprehensive treatise on defending securities class actions whose contributing authors are recognized leaders in the field of securities litigation. He has also co-authored numerous publications on securities regulation, enforcement and litigation, including the lead chapter on handling parallel regulatory investigations and securities litigations for the Practising Law Institute’s book “Handling a Securities Case: From Investigation to Trial and Everything in Between.” Adam is also a frequent lecturer and panel participant on insider trading, SEC and government investigations, and litigation and compliance matters, for SIFMA, PLI, ALI and other leading groups.
Adam received his J.D. from St. John’s School of Law, magna cum laude, where he was Executive Articles Editor of the Law Review.
Carmen Lawrence is a partner in King & Spalding’s Special Matters and Government Investigations practice group.
Ms. Lawrence's practice focuses on representing parties in investigations and litigations conducted primarily by the US Securities and Exchange Commission, US Commodity Futures Trading Commission, US Department of Justice, self-regulatory organizations and state securities regulators, conducting internal investigations, providing crisis management advice to public and private companies and counseling public companies and regulated entities (broker-dealers and investment advisers) on their obligations under the federal securities laws.
From 1996 until June 2000, Ms. Lawrence was the Regional Director for the SEC's Northeast Regional Office (covering 14 states and the District of Columbia), where she oversaw all enforcement and regulatory operations in the SEC's largest region. Some of the SEC's most significant cases were brought by the Northeast Regional Office under Ms. Lawrence's leadership.
Before her appointment as regional director, from 1990 through 1995, Ms. Lawrence served as Senior Associate Regional Director, heading up the Northeast Regional Office's Enforcement Division. From 1981 to 1989, she served in various staff and senior positions in the Enforcement Division.
Ms. Lawrence received numerous awards during her tenure at the SEC, including the Equal Employment Opportunity Award in 1998; the Presidential Distinguished Executive Award in 1995; the Stanley Sporkin Award in 1993; and the Irving M. Pollack Award, presented to an enforcement lawyer exhibiting leadership, integrity and intellect, in 1990.
Ms. Lawrence is consistently recognized by Chambers USA: America's Leading Lawyers for Business as a leading individual for Securities Regulation and for Litigation: White-Collar Crime & Government Investigations. She is consistently recognized by Legal 500 in Litigation: White-Collar Criminal Defense, and is additionally recognized in Financial Services: Litigation. She is also consistently recognized by Benchmark: Litigation as a New York Litigation Star. She was named to Securities Docket’s inaugural “Enforcement 40” list of top SEC enforcement lawyers in 2013.
Ms. Lawrence has spoken extensively and participates in numerous continuing legal education programs for federal securities law matters.
David A. Rosenfeld is a partner at Robbins Geller Rudman & Dowd LLP in the firm’s Melville, NY and Manhattan offices. Mr. Rosenfeld has focused his practice of law for more than a decade in the areas of securities litigation and corporate takeover litigation. He has been appointed as lead counsel in dozens of securities fraud lawsuits and has successfully recovered hundreds of millions of dollars for defrauded shareholders.
Mr. Rosenfeld, serving as lead counsel, recently secured a settlement of $70 million in the securities class action on behalf of investors in Credit Suisse Group and was also appointed as lead counsel in the securities fraud lawsuit against First BanCorp, which provided shareholders with a $74.25 million recovery. He served as lead counsel in In re Aramark Corporation Shareholders Litigation, which resulted in a $222 million increase in consideration paid to shareholders of Aramark and a dramatic reduction to management’s voting power in connection with shareholder approval of the going-private transaction (reduced from 37% to 3.5%).
Since 2011, Mr. Rosenfeld has been named by Super Lawyers Magazine as a “Rising Star” in Securities Litigation.
Mr. Rosenfeld is actively prosecuting many cases involving widespread financial fraud, including lawsuits on behalf of victims of Bernard L. Madoff, as well as litigation concerning collateralized debt obligations and credit default swaps.
Mr. Rosenfeld often advises and lectures the Firm’s institutional investor clients on securities litigation and has been responsible for numerous significant rulings in their appointment as lead plaintiffs.
Mr. Rosenfeld regularly practices in federal and state courts throughout the United States and is admitted to practice in the state of New York, the Southern, Eastern and Western Districts of New York, the District of Colorado, the Eastern and Western Districts of Arkansas, the Eastern District of Wisconsin, and the First, Second and Third Circuit Courts of Appeal.
Mr. Rosenfeld earned his Bachelor of Science degree in Accounting from Yeshiva University’s Sy Syms School of Business and his Juris Doctor degree from the Benjamin N. Cardozo School of Law.
Ghillaine Reid is a Partner in the firm’s Government Investigations, Compliance, and Enforcement practice. She focuses her practice on government and securities regulatory investigations, financial services litigation, commercial litigation and corporate compliance. Drawing on her experience in government service and private practice, Ghillaine regularly represents corporations and individuals in investigations conducted by the Securities & Exchange Commission, the Department of Justice, the Financial Industry Regulatory Authority and other government and regulatory agencies. Ghillaine has successfully defended several high profile SEC investigations and enforcement proceedings involving a wide range of significant issues, including insider trading, accounting fraud, market manipulation and broker-dealer sales practice violations. Prior to entering private practice, Ghillaine was a Branch Chief and Staff Attorney in the New York Regional Office of the Securities & Exchange Commission's Division of Enforcement, where she investigated and litigated a wide range of securities enforcement matters.
Ghillaine also represents clients in complex financial services and commercial litigations matters, in both federal and state courts. She has achieved favorable outcomes in cases involving fraud, breach of contract, breach of fiduciary duty, misrepresentation and tortious interference. She has also successfully defended clients in large scale arbitration proceedings, both through the Financial Industry Regulatory Authority and the American Arbitration Association.
Gregory A. Markel is co-chair of the Securities Litigation Department of Seyfarth Shaw LLP and is Chairman of the Center for Corporate Governance at The New York County Lawyers Association. He recently won (for the third time) a Burton Award for distinguished legal writing. He is a nationally known trial lawyer, widely recognized by ratings publications, including Chambers, Legal 500, Super Lawyers and is a LawDragon Hall of Fame Member. Best Lawyers named him 2018 Lawyer of the Year for Merger Litigation. His practice concentrates on securities litigation, mergers and acquisition litigation, directors and officers defense, and antitrust litigation particularly in bet-the-company cases. Mr. Markel speaks and writes frequently on corporate governance, securities litigation, jury trial practice, and other legal topics. He is a member of the Boards of the New York County Lawyers Association, Junior Achievement of New York and the Historical Society of New York Courts.
A graduate of Yale Law School, he holds an MBA in finance and accounting from the University of Michigan and is a member of the litigation and antitrust sections of the American Bar Association.
James R. Swanson represents state and local governments, corporations and individuals in commercial disputes, with a primary focus on securities litigation. His securities matters have spanned a range of subject areas, including municipal finance, derivatives, CDOs, and Ponzi schemes.
Jonathan R. Tuttle is a partner in Debevoise & Plimpton LLP’s Washington, D.C. office and a member of the firm’s Litigation Department. He regularly represents public companies, regulated financial institutions, boards of directors, audit and special committees of boards, and individual directors, officers and employees in enforcement investigations and proceedings brought by the Securities and Exchange Commission, the Department of Justice, FINRA, and the PCAOB as well as in securities class actions, shareholder derivative suits, internal corporate investigations, and a variety of other securities and finance related litigation and regulatory compliance matters. He received his J.D. cum laude from Harvard Law School in 1992. Mr. Tuttle is admitted to practice in Washington, D.C., Virginia and the United States District Courts for the District of Columbia and the Eastern District of Virginia.
Jonathan Youngwood is Co-Chair of the Firm’s Litigation Department and is a member of the Executive Committee. With more than two decades of experience, Jon has represented clients in a wide range of high-profile complex commercial litigation and regulatory matters, including securities, corporate control, antitrust, and ERISA disputes.
Jon was named a “Distinguished Leader” by the New York Law Journal in 2017, an award that recognizes lawyers in leadership roles who have achieved impressive results in the last year. Chambers and Partners consistently recognizes Jon as a leading securities litigator (Band 1), describing him as a “very well-respected lawyer with a tremendous reputation, and is very good in the courtroom”; “a great advocate”; “the best lawyer on his feet – he is incredibly comfortable before judges and panels”; and a “smart, focused and creative lawyer who brings the required intensity to the job.” Chambers also describes him as “a detail-oriented litigator with the ability to get to the nub of an issue” who “has extensive securities knowledge”; a “flair for written work and oral advocacy”; who “commands respect in the courtroom”; and “is highly esteemed for his distinguished securities litigation practice, with a number of major financial institutions calling upon his skills in defending class actions, derivative claims and wider disputes work.” He is recognized as a “Leading Lawyer” by The Legal 500, where market commentators describe him as “very talented”; who has a “client-oriented approach”; “technically superb, bright and articulate”; an “outstanding securities litigator”; and “smart, hardworking and extremely professional.” In 2017, he was the recipient of the “Securities Lawyer of the Year” award by Euromoney’s Benchmark Litigation, an award that recognizes the country’s most distinguished litigators; he was listed as a “Top 10 Nationwide Securities Star”; and is consistently recognized as a national and New York “Litigation Star” in Securities Litigation by Benchmark Litigation, where sources have described him as “one of the smartest lawyers I know. He not only is hardworking, but he has the ability to be both a big-picture thinker and also pay incredible attention to detail.”
He edits the Securities Law Alert, a monthly newsletter published by the Firm, is the Co-Chair of PLI’s annual program entitled “Handling a Securities Case: From Investigation to Trial and Everything in Between,” and received the Burton Award for Achievement in Legal Writing.
Among a number of significant pro bono achievements, Jon served on the Simpson Thacher team that achieved a finding (after a seven-month trial) that the New York City public schools fail to provide a constitutionally adequate education.
Jon received his B.A. with honors from Brown University in 1990. He received his J.D. in 1994 with honors from the University of Chicago, where he served as Comments Editor of The University of Chicago Law Review. He also holds a Master of Public Policy from The University of Chicago (1992). Jon joined Simpson Thacher in 1995 following a one-year clerkship with Hon. Dennis G. Jacobs of United States Court of Appeals for the Second Circuit. He became a Partner in 2003.
Karin A. DeMasi is a partner in Cravath’s Litigation Department and serves as the Department’s Managing Partner. She has been a litigator at Cravath for 21 years and a partner for over 13 years. She has extensive experience representing clients in class action litigation, including a number of securities cases, most recently representing GreenSky and its officers and directors in putative class action securities litigation alleging disclosure deficiencies in connection with GreenSky’s initial public offering; First Solar in a securities class action and a related opt-out action; Juno Therapeutics in a securities class action alleging defendants failed to disclose the side effects associated with an immunotherapy drug, resulting in a stock price drop when the clinical trial was halted; Merck in multidistrict litigation, which contained numerous class actions, individual securities actions, derivative suits and ERISA class actions, all of which Karin defended for more than a decade, including in the trial court, the Third Circuit and in the U.S. Supreme Court; DreamWorks Animation in two separate securities class action lawsuits concerning the animated film Turbo and sales of the company’s Shrek 2 DVD; Tetragon Financial Group in separate putative securities class actions; and Charm Communications and a special committee of its board of directors in a securities class action concerning the company’s going-private sale. Karin also represented an underwriting syndicate led by Credit Suisse, Merrill Lynch and Lehman Brothers in a securities class action alleging misrepresentations and omissions in connection with the initial public offering of Anchor Glass Container Corporation; Morgan Stanley in securities litigation, as well as related class action litigation, regarding alleged misrepresentations and disclosures relating to Guaranteed Investment Contracts marketed and sold by the financial services company ARM Financial Group; and Tyco International in a consolidated, multidistrict shareholder fraud class action, and related individual securities actions. In the past 10 years, Karin has had 14 similar cases successfully resolved on motions and 24 similar cases that ultimately settled.
Ms. DeMasi was elected in 2013 to serve as a member of The American Law Institute. She is also a member of the American Bar Association and the New York City Bar Association. She is the author of several articles, and has spoken on several panels relating to securities and class action litigation.
Ms. DeMasi received a B.S. from Northwestern University in 1993, and a J.D. from the University of Pennsylvania in 1996, where she was Editor of the University of Pennsylvania Law Review. After a clerkship with Hon. D. Brock Hornby of the U.S. District Court for the District of Maine, she joined Cravath in 1997 and became a partner in 2005. Ms. DeMasi has served as the Managing Partner of the Litigation Department since September 2016. From 2014 to 2016, she served as the Hiring Partner for the Firm’s Litigation Department.
Lyle Roberts is a partner in the firm’s Litigation practice. Lyle represents companies, officers and directors in securities cases and Securities and Exchange Commission (SEC) enforcement matters throughout the United States. He also conducts corporate internal investigations and counsels clients with respect to securities regulatory issues. Lyle represented Mark Cuban in obtaining a complete victory against the SEC in Cuban’s closely watched insider trading case. Lyle also has obtained dismissals with prejudice on behalf of CenturyLink, ChannelAdvisor and Alcobra in recent securities class actions brought against those companies. He currently represents a number of prominent companies – including Northrop Grumman – in the defense of private securities litigation.
Recognized as a leading securities litigator by Chambers USA and The Legal 500, among others, Lyle is the publisher of the well-known blog, The 10b-5 Daily, which tracks key developments in securities litigation. He also is co-chairman of the annual Practicing Law Institute securities litigation program. Lyle frequently submits amicus briefs in prominent securities litigation cases on behalf of clients, including recent briefs in the U.S. Supreme Court on behalf of the Washington Legal Foundation in the Halliburton, ANZ Securities, and Leidos cases and SIMFA and the Chamber of Commerce of the United States of America in the Matrixx case.
Mark E. Segall, Esq. is nationally recognized as one of the leading experts on the evaluation of litigation risk, settlement strategy and mediation of cases involving financial services and complex commercial disputes. Mr. Segall has mediated and arbitrated hundreds of complex disputes since joining JAMS in 2010. Mr. Segall’s experience ranges broadly in case type. He has vast experience in many areas of law including: employment, securities, financial markets, insurance, real estate and intellectual property. Mr. Segall’s expertise in these areas derives from his two decades of extensive experience managing litigation and handling difficult, high profile financial services matters domestically and worldwide for JPMorgan Chase (JPMC) and its predecessor firms as well as his experience in private practice and at JAMS. Mr. Segall served as JPMC’s Head of Litigation, Senior Vice President, and Associate General Counsel from 2003 until 2010. Litigation matters ran the full gamut from the most high profile securities and antitrust cases to consumer class actions, employment matters, and international litigation and arbitration. He has been an active speaker at industry and litigation conferences and a participant in court-appointed focus groups.
Mr. Segall is particularly adept at resolving employment disputes involving senior executives. Disputes involve claims of wrongful discharge, claims of discrimination based on race, sex and age, alleged violations of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Sarbanes-Oxley Act, claims involving compensation in the form of incentive bonuses, deferred compensation, stock options and restricted stock, other forms of long-term incentive plans, claims involving company-sponsored private equity investments, claims involving the right to benefits and alleged violations of ERISA, and claims involving the enforcement of restrictive covenants.
Mr. Segall is a magna cum laude graduate of both Harvard College and Harvard Law School. Mr. Segall is on the Board of MFJ Legal Services and has served as Board Chair. He also served on the Board of Trustees of Westchester Reform Temple. Mr. Segall is also a past recipient of MFJ’s Matthew G. Leonard Award for Pro Bono Achievement. While at JPMorgan Chase & Co., Mr. Segall also held the company’s board seat on the Institute for Legal Reform in Washington.
Paul Gluckow is a Partner in Simpson Thacher’s Litigation Department. His practice focuses on securities litigation—including class and derivative actions, disputes in connection with mergers and acquisitions, and government and internal investigations—as well as antitrust litigation, defense of law firms in legal malpractice and related matters, and other complex commercial litigation matters. He is recognized by The Legal 500 in Securities: Shareholder Litigation, Financial Services Litigation, Commercial Litigation, and M&A Litigation, where clients have described him as “very responsive and client-friendly.” He is also recognized by Euromoney’s Benchmark Litigation.
Paul regularly represents financial institutions, corporations, and individuals in high-profile securities and shareholder litigations, and other related matters, including government and internal investigations. He also has substantial experience in litigation arising out of corporate acquisitions and other transactions. Paul is active in antitrust and competition matters, litigating on behalf of both plaintiffs and defendants, including cases alleging monopolization, price-fixing, and other restraints of trade.
Paul is an editor of the Firm’s Securities Law Alert, a monthly newsletter that reports on developments in securities litigation and related areas.
Paul is very active in pro bono. Among other things, since 2007 he has supervised the Firm’s work with co-counsel The Legal Aid Society in the Immigration Removal Defense Project, through which the Firm and Legal Aid have represented numerous clients in removal/deportation cases in Immigration Court.
Paul joined Simpson Thacher in 1996. He received his J.D. summa cum laude from Seton Hall University School of Law in 1994, where he was also Editor-in-Chief of the Seton Hall Law Review. He received his M. Phil. with highest distinction in 1992 from the University of Glasgow and his B.A., magna cum laude, from the University of Notre Dame in 1988. In 1994–95, Paul served as a law clerk to the Hon. William G. Bassler of the U.S. District Court for the District of New Jersey, and in 1995–1996 he clerked for the Hon. Samuel A. Alito, Jr., of the U.S. Court of Appeals for the Third Circuit.
Rob Stern is the Co-Chair of the Firm’s White Collar, Investigations, Securities Litigation & Compliance practice group.
Rob is a nationally ranked securities litigator with extensive experience litigating civil and government enforcement actions on behalf of financial services institutions, Fortune 100 companies and officers and directors of public companies.
For the past 20 years, Rob has handled many of the most complex financial services and civil and governmental securities matters. Rob possesses particular expertise litigating claims involving accounting-related matters, structured products, mortgages, futures and derivatives. Rob routinely represents financial institutions, public companies, officers and directors.
Rob is a faculty member for the Practicing Law Institute’s Securities Litigation program. Rob has also been nationally recognized as a leader in securities litigation by The Legal 500 and SuperLawyers.
Stanley M. Grossman is Senior Counsel to Pomerantz Haudek Grossman & Gross LLP. He has been with the Firm since February 1969, and was a partner from January 1, 1975 to December 31, 2008.
He is widely considered a dean of the plaintiffs’ securities bar and was featured in the New York Law Journal "Top Litigators in Securities Field -- A Who's Who of City's Leading Courtroom Combatants" and has repeatedly been named by the New York Times as one of the New York Super Lawyers and by Law Dragon Magazine as a Leading Plaintiff Lawyer in America.
Mr. Grossman has argued groundbreaking cases throughout his career. He appeared before the United States Supreme Court to argue that scheme liability is actionable under Section 10(b) of the Securities Exchange Act of 1934. See StoneRidge Investment Partners v. Scientific-Atlanta, 552 U.S. 148 (2008). In EBCI v. Goldman Sachs & Co., 5 N.Y.3d 11 (2005), he obtained a decision from the New York State Court of Appeals, holding for the first time that underwriters may have a fiduciary duty to issuing companies in an IPO.
In addition to his appellate work, Mr. Grossman has tried important securities cases upholding shareholder rights. Gartenberg v. Merrill Lynch Asset Management was the first case ever to be tried involving Section 36(b) of the Investment Company Act of 1940: In Rauch v. Bilzerian (Super. Ct., NJ), he pursued claims versus directors for a breach of duty to preferred shareholders. In Grumman, etc., he headed a six week trial involving ERISA and securities law claims and in Lewis v. Rockwell, he tried one of the few derivative stockholder cases to go to trial.
He has lectured to the profession on various occasions under the auspices of the Southern Federal Securities Institute, Columbia University School of Law, Duke University Law School, University of Arizona Law School, Brooklyn Law School, Willamette School of Law, ALI-ABA, the New York State Bar Association, and the Association of the Bar of the City of New York.
Mr. Grossman is a nationally respected authority on the subject of corporate governance. He served on former New York State Comptroller Carl McCall’s Advisory Committee for the NYSE Task Force on corporate governance. He is a regular advisor to Congress on legislation to protect investors and is a former president of NASCAT. During his tenure at NASCAT, he represented the organization in meeting with the Chairman of the Securities and Exchange Commission and before members of Congress and of the Executive Branch concerning legislation that became the PSLRA.
Mr. Grossman served for three years on the New York City Bar Association’s Committee on Ethics, as well as on the Association’s Judiciary Committee. He is also actively involved in civic affairs. He headed a task force on behalf of the Association, which after a wide-ranging investigation, made recommendations for the future of the City University of New York. He currently serves on the New York Advisory Council of the Appleseed Foundation, a national public advocate group.
Tracey Cushing Gilliam is a Senior Vice President and Chief Counsel – Litigation for MetLife. She joined the company on August 24, 2015.
In her position, Gilliam leads the Litigation Section of MetLife’s Legal Affairs Department, with responsibility for the management and oversight of litigation matters and processes the strategic management of litigation outcomes and risks, leadership, and public disclosure of MetLife’s key material litigation matters. She also serves as legal advisor to members of senior management and other business leaders across the Company.
Prior to joining MetLife, Gilliam served as Managing Director and Associate General Counsel at JPMorgan Chase & Co., with responsibility for leading the Collections Litigation Legal Group. She also provided firm-wide legal support for JPMorgan Chase & Co.’s sworn documents program, as well as the Consumer & Community Banking business’s controls, compliance, risk management, and audit teams.
Gilliam joined JPMorgan Chase & Co. in 2000 and, from 2010 to 2012, was Special Counsel to the General Counsel. She was also previously a member of JPMorgan Chase & Co.’s Litigation Department, where she represented Investment Bank, Private Equity, and Retail Financial Services clients. Prior to joining JPMorgan Chase & Co., Gilliam was associated with Shearman & Sterling in New York.
Gilliam received a J.D. from Temple University School of Law in Philadelphia and received a B.A. in Religion from Dartmouth College in Hanover, New Hampshire. She has been admitted to practice before the New York and Massachusetts State Bars, the District of Columbia Bar, the Federal District Court of Massachusetts, the Southern and Eastern Districts of New York, and the Court of Appeals for the Sixth Circuit.
She is a mediator in the New York Supreme Court, Commercial Division and volunteers as an arbitrator in the Small Claims Part of the Civil Court of the City of New York. She is also a member of the New York Women’s Bar Association, and the National Association of Women Lawyers, served on the Leadership 35 Committee of the National Women’s Law Center, and is involved with the nonprofit organization Play Rugby USA.
Tracey and her husband Greg live in Westchester with their three children, Piper, Bailey and Sam. Tracey is an avid hiker and skier, and enjoys Soul Cycle, running, and playing rugby once a year with her former teammates from the New York Rugby Club.
Dr. Conroy is a Managing Director and Chair of NERA's Securities and Finance Practice. He specializes in the economic analysis of securities and finance issues. His work at NERA has included expert testimony and consulting involving securities fraud, mutual and hedge fund issues, exchange-traded fund disclosure and trading, securities lending, broker-dealer-related disputes, derivatives, swaps, and ERISA matters. He has also provided opinions on damages in bribery cases under the Foreign Corrupt Practices Act. Dr. Conroy has testified in US federal and state court, and has appeared at mediations and arbitrations.
Prior to joining NERA, Dr. Conroy was an economist at the US Securities and Exchange Commission (SEC) and developed new products for FolioInvesting, an online brokerage firm. While at the SEC, he conducted research on electronic communications networks, foreign securities, IPOs and underwriting, mutual funds, securities fraud, Social Security, broker/customer disputes, and market microstructure trading issues. While at FolioInvesting, he designed initial content and functionality, and developed new products relating to performance, tax-efficient trading, and margin.
Dr. Conroy has provided analysis for a variety of securities cases including United States v. Blankenship, Veleron Holding BV v. BNP Paribas SA, Securities and Exchange Commission v. Cuban, and U.S. v. Alcoa World Alumina LLC.
With over twenty years of experience, Felipe J. Arroyo has successfully litigated high-profile shareholder derivative cases and securities fraud class actions against top executives of publicly-traded companies who participated in misconduct that includes stock option backdating, the global subprime meltdown, insider trading, misappropriation, and making materially false or misleading statements. The litigation teams led by Mr. Arroyo have recovered hundreds of millions of dollars for companies and shareholders—including some of the largest monetary recoveries in the history of shareholder litigation.
Prior to joining Robbins Arroyo LLP in 2006, Mr. Arroyo practiced complex commercial litigation for over a decade with a top tier international law firm headquartered in Los Angeles, where he represented a diverse client base of Fortune 500 companies in varied industries. He also served as general counsel to a fitness company where he prosecuted a global patent infringement litigation campaign, and practiced complex commercial litigation and securities fraud at the Washington DC offices of a global New York-based firm.
Mr. Arroyo frequently speaks on shareholder litigation and corporate governance topics to investor and legal communities. He is the Co-Chair of the Class Actions & Derivative Suits Subcommittee of the American Bar Association Section of Litigation, Securities Litigation Committee, and a former member of the Board of Governors of the Business Trial Lawyers of San Diego. While in Los Angeles, he directed a Trial Advocacy Prosecution Program, supervising, training, and advising attorneys on trial strategy and practice while they litigated misdemeanor jury trials pro bono for a municipal client. Mr. Arroyo earned his Juris Doctor from Yale Law School in 1992, where he served as a senior editor of Yale Law Journal and a director of Yale Moot Court of Appeals. He earned his Bachelor’s in Economics from the University of California, Los Angeles, where he was a member of the A.S.U.C.L.A Finance Committee.
Jonathan E. Richman represents a variety of companies in securities class actions, shareholder derivative actions, internal investigations, SEC investigations, corporate governance, insider trading, D&O insurance and related matters. Many of those matters involve international elements, including representations of non-U.S. issuers in U.S. litigation and in landmark non-U.S. collective settlements under Dutch law in the Netherlands. Jonathan’s clients have included Hewlett Packard, Royal Dutch/Shell, Zurich Insurance Group, Halliburton, and Waste Management.
Jonathan writes extensively on topics ranging from securities and insider-trading law, corporate governance and fiduciary issues to non-U.S. law on collective actions. His articles have been published in major legal publications.
Jonathan serves as co-head of the Firm’s Securities Litigation Group. Before joining Proskauer, Jonathan was a partner at Dewey & LeBoeuf LLP, where he was co-head of the Securities, M&A and Corporate Governance Litigation Practice Group.
Awards and Recognition
Amanda T. Perez received her J.D. from Yale Law School in 1998. After graduating from law school, Ms. Perez clerked for the Honorable Joseph Irenas in the United States District Court for the District of New Jersey. Ms. Perez spent nine years practicing law at the New York office of Simpson Thacher & Bartlett LLP, and subsequently joined Schering-Plough Corporation (now Merck & Co., Inc.) as a Senior Legal Director Ms. Perez is currently a Senior Corporate Counsel for Pfizer Inc. in New York City and is part of the civil litigation group. Ms. Perez is responsible for a diverse portfolio of litigations for Pfizer, including securities litigation, mass tort, product liability, consumer fraud and general commercial matters.
James H.R. Windels is a member of Davis Polk & Wardwell’s Litigation Department. Since joining Davis Polk in 1990 he has had wide experience in a variety of federal and state court commercial litigation matters, international arbitrations, regulatory enforcement proceedings, and internal investigations.
Mr. Windels’ matters include securities cases relating to public offerings and underwritings, sales and trading, asset management, mutual funds, private equity transactions and accounting matters. He has represented companies and accounting firms in internal investigations, bidders and targets in mergers and acquisitions litigation, and financial institutions and manufacturers in federal and state antitrust actions. He has also represented financial institutions and accounting firms in investigations and proceedings before the Securities and Exchange Commission, the Federal Reserve Bank, the Commodity Futures Trading Commission, the New York Stock Exchange, federal and state criminal authorities, and local regulators in Europe and Asia.
Mr. Windels joined Davis Polk in 1990, became a partner in 1997, and served as practice group coordinator of the Litigation Department from 2006-11. He clerked for the Honorable Peter K. Leisure, U.S. District Court for the Southern District of New York, from 1989-90. He is Chair of the Board of Directors of Volunteers of Legal Services and previously served as a member of the Executive Committee of the Association of the Bar of the City of New York and Chair of the Board of Directors of Brooklyn Legal Services Corporation A.
Tom McCormack currently is the Domestic & Canadian Head of D&O Claims for AIG Claims, Inc., including National and Commercial/Middle Market Accounts as well as Private and Non-Profit Accounts. Tom has had two stints at AIG/Chartis and has been with the company for a total of 15 years. Before becoming The Domestic Head of D&O Claims, he was Vice President for Commercial/Middle Market and Private/Non-Profit Accounts for Central U.S. Tom was also previously a Complex Claims Director in the Accident Group, D&O National Group and the Financial Institutions Group. Prior to arriving at AIG, Tom spent 10 years at Home Insurance Company, most recently as the Manager of the E&O Large Claims Group as well as all claims reported to the Company’s Reinsurers. Tom was responsible for handling large exposure Legal, Accounting, Real Estate and Insurance Agents malpractice claims as well as Police Department claims throughout the United States. Tom has also spent time as a litigator at a NY Defense Firm responsible for handling defense of both Legal and Accounting Malpractice lawsuits against those professionals. Tom received a JD from St. John’s University in 1985. Prior to entering Law School, Tom spent five years as an accountant at Texaco, Inc., most recently as the Assistant Chief Accountant for the Budget and Statistical Group for all of Texaco’s worldwide enterprises. Tom graduated with a B.S. in Accounting from St. John’s University in 1978.
WILLIAM C. FREDERICKS is a partner in the New York office of Scott + Scott LLP. He began his legal career as a law clerk for the Hon. Robert S. Gawthrop III of the U.S. District Court for the Eastern District of Pennsylvania, and then spent seven years practicing securities and complex commercial litigation as an associate at Simpson Thacher & Bartlett and Willkie Farr & Gallagher before moving to the plaintiffs’ side of the bar in 1997 where he was a partner at Milberg LLP and then at Bernstein Litowitz Berger & Grossmann LLP. Mr. Fredericks has represented investors as a lead or co-lead counsel in dozens of securities class actions, including In re Wachovia Preferred Securities and Bond/Notes Litig. (S.D.N.Y.) (total settlements of $627 million, reflecting the largest recovery ever in a pure Securities Act case that did not involve any parallel government fraud claims); In re Rite Aid Securities Litig. (E.D. Pa.) (total settlements of $323 million, including the then-second largest securities fraud settlement ever against a Big Four accounting firm); In re Sears Roebuck & Co. Securities Litig. (N.D. Ill.) ($215 million settlement, reflecting the largest section 10(b) recovery in history in an action not involving either a financial restatement or parallel government fraud claims ); In re State Street ERISA Litig. ($89 million settlement, one of the largest ERISA class action settlements to date) and Irvine v. Imclone Systems, Inc. (S.D.N.Y.) ($75 million settlement). He has also obtained significant recoveries on behalf of creditor interests, including recoveries against News Corp. on behalf of the receiver in bankruptcy of Australis Holdings Pty. Limited, and recoveries on behalf of the Friedman’s Creditor’s Trust against certain former outside attorneys, auditors and financial advisers of Friedman’s, Inc. Mr. Fredericks also played a lead role on the appellate team that obtained a rare 9-0 decision for plaintiffs (and remand to the district court) in a securities fraud case from the United States Supreme Court in Merck & Co., Inc. v. Reynolds, 130 S.Ct. 1784 (2010). Mr. Fredericks also has extensive experience litigating various MBS-related actions against MBS issuers, sponsors, underwriters and trustees, including the ongoing litigation in Retirement Board v. Bank of New York Mellon, No. 1:11-cv-05459 (S.D.N.Y.) against the trustee of various Countrywide-sponsored MBS trusts based on the trustee’s alleged failure to take timely and appropriate actions to enforce the trusts’ repurchase rights).
Mr. Fredericks graduated from Columbia University School of Law in 1988, where he was awarded the Toppan Prize in Advanced Constitutional Law, the Beck Prize in Property Law, the Greenbaum Prize for Legal Writing, and the Gov. Thomas E. Dewey Prize for best oral argument in the final round of Columbia’s 1988 Harlan Fiske Stone Moot Court Honor Competition. He earned his B.S., with High Honors, from Swarthmore College, and also holds an M. Litt. degree in international relations from Oxford University.
Mr. Fredericks has been a panelist on numerous programs sponsored by various organizations, including the Practising Law Institute (PLI) and the American Law Institute/American Bar Association (ALI/ABA). He is a member of the Association of the Bar of the City of New York (former chairman, Committee on Military Affairs and Justice), The American Bar Association, and The Federal Bar Council. He is admitted to the bar of the State of New York and to the bars of the United States Supreme Court, the U.S. Courts of Appeal for the Second, Third, Sixth and Tenth Circuits, and the U.S. District Courts for the Southern and Eastern Districts of New York.