RESULTS

We believe our record speaks for itself.

Nine of our attorneys have been recognized as Superlawyers or Superlawyers Rising Stars. Three of our partners have been named to the National Trial Lawyers’s elite list of Top 100 Trial Lawyers in New York. Our partners and associates have been federal prosecutors, and federal and state defenders; we regularly teach trial advocacy at law schools and national trial advocacy programs, and have worked for pre-eminent plaintiff’s and defense firms.

We represent our clients in civil jury trials and arbitrations, and all manner of criminal and regulatory investigations and cases. Our regular opponents are top nationally recognized law firms, federal and state prosecutors, and regulators. We have won tens of millions of dollars in jury verdicts and arbitration awards, plus millions more in settlements. In white collar criminal, traditional criminal, and regulatory cases, we have persuaded prosecutors and regulators not to bring charges, won trial victories and negotiated non-custodial pleas and outstanding settlements. Our results include:

CIVIL TRIALS AND ARBITRATIONS

$20.5 Million Jury Verdict for The Learning Annex; $21.8 Million on Retrial

Won a $14.6 million jury verdict plus $5.9 million in interest after a jury trial, on a claim that The Learning Annex was improperly cut out of a business deal. On post-trial motions, the trial court upheld liability and ordered a retrial on damages. For the retrial, the defendant retained one of the nation’s most prominent trial defense firms. On retrial, we won a larger jury verdict of $15.8 million plus $6 million in interest.
(Learning Annex v. Rich Global, SDNY, 2012, Case No. 09-CV-4432))

$61 Million FINRA Award For a Hedge Fund

Won a $61 million award for a hedge fund, Aurum STS Aggressive Trading LLC, against Societe Generale in a FINRA arbitration involving settlement of a derivative transaction. This award is the sixth largest securities arbitration award ever awarded to a plaintiff according to Securities Arbitration Commentator. 
(FINRA San Francisco, 2011, Case No. 09-03598)

$2.7 Million AAA Arbitration Award For Investors in A Hedge Fund

Won a $2.7 million arbitration award for an investor group in an AAA arbitration against a hedge fund and its general partner relating to the refusal to return investor money and self-dealing. (AAA, 2013, Case No. 13 512 M 001118 12; Motion to Confirm Pending, NY County Supreme Ct., Case No. 654301/2012)

$550,000 FINRA Award for Unpaid Compensation

Won a $550,000 FINRA arbitration award for an investment banker for unpaid bonus compensation. 
(FINRA New York, 2012, Case No. 10-01101)

WHITE COLLAR CRIMINAL, TRADITIONAL CRIMINAL, AND REGULATORY

No Criminal or Regulatory Charges Filed

The best result is one where we help our clients avoid threatened charges entirely. We have represented numerous clients in criminal and civil investigations in which no criminal charges were filed or regulatory complaint brought, including:

• a hedge fund and its manager in parallel investigations by the US DOJ and the SEC related to insider trading (2012)*

• an individual target of a US DOJ investigation into violations by our client’s employer of tax laws and the Foreign Corrupt Practices Act (2011-2012)*

• the CFO of a major company in an insider trading investigation (2012)*

• a senior scientist at a pharmaceutical company in a DOJ investigation relating to the development and testing of a new drug (2011)*

• the Managing Partner of a hedge fund in an SEC and DOJ investigation into trade allocating (2009)*

Defense Jury Verdict on SEC Fraud Charges

Won a defense verdict on all fraud charges brought by the SEC against a former investment advisor for a national brokerage firm, following a month-long federal jury trial. Our client was also found not liable on 54 out of 60 allegations of negligence, with the remaining 6 allegations of negligence still being contested. The allegations concerned market timing of mutual funds.
 (SEC v. O’Meally, SDNY, 2011, Case No. 06-CV-6483)

Acquittal of Murder

Our client was charged with murder in the second degree and, following a four-week jury trial, we won an acquittal of the top charge. He was convicted of the lesser offenses. (NY County Supreme Ct., Summer 2007)*

Acquittal of Robbery

Our client was charged with gunpoint robbery and other felonies. Following an eight-day jury trial, our client was acquitted of gunpoint robbery, which was the most serious charge. He was convicted on lesser offenses. 

 (NY County Supreme Ct., Summer 2011)

No Jail After Plea

When the goal is negotiating a favorable plea and achieving a favorable sentence, our track record is excellent, including:

• negotiation of a favorable plea, and a sentence of probation in a federal bribery conspiracy case (Southern District of New York, Spring 2013)

• plea to a lesser offense, and probationary sentence for a client accused of international money laundering (Southern District of New York, Spring 2013)

• non-custodial sentence for a broker dealer who pleaded guilty to a $20 million securities fraud (Southern District of New York, Winter 2012)*

• non-custodial sentence for a client who pleaded guilty to operating a hawala (money transmitting) business (Southern District of New York, 2012)*

Prior results do not guarantee a similar outcome. Cases marked with an asterisk denote matters handled by partners prior to joining Harris, St. Laurent & Chaudhry LLP.