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About me

I represent a wide array of clients in securities litigation and enforcement matters, and in complex business litigation. I represent private equity funds, including hedge funds, broker-dealers, underwriters, placement agents and issuers (including their officers and directors) in SEC and FINRA (formerly NASD) enforcement proceedings, and in white collar criminal proceedings. In addition, I defend both underwriters and issuers (and their officers and directors) in securities class actions, shareholder derivative actions and takeover defense litigation. 


Beyond securities matters, I also have an active complex business litigation practice, including representing parties in California consumer class actions involving claimed violations of the Right to Privacy, Section 17200 and RICO.


In addition to representing private and public companies in a variety of industries in both national and international business disputes as well as in securities class and derivative actions, I also represent both domestic and international market participants (including many Chinese issuers traded in the US, as well as underwriters and placement agents with respect to those transactions) in a wide range of securities litigation and enforcement matters, including pre-litigation crisis management counseling.


I have been approved by American International Group, Inc. (AIG), and XL Group PLC, as one of the few lawyers in California to represent directors and officers in securities and other complex (class action) litigation matters.

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Practice areas

Licensed

  1. Litigation: 40%
    28 years
  2. Class Action: 30%
    28 years
  3. Privacy: 30%
    28 years

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Contact info

DLA Piper US LLP

2000 Avenue of the Stars
Suite 400 North Tower
Los Angeles, CA, 90067

Resume

License
StateStatusAcquiredUpdated
CAActive198805/24/2016
We have not found any instances of professional misconduct for this lawyer.
Avvo contributions
Legal answers
Awards
Award nameGrantorDate granted
Southern California Super LawyerSouthern California Super Lawyers2015
Southern California Super LawyerSouthern California Super Lawyers2014
Wiley W. Manuel Award for Pro Bono Legal ServicesState Bar of California2013
500 Leading Lawyers in AmericaLawdragon2013
Southern California Super LawyerSouthern California Super Lawyers2013
Southern California Super LawyerSouthern California Super Lawyers2012
500 Leading Lawyers in AmericaLawdragon2012
Southern California Super LawyerSouthern California Super Lawyers2011
Southern California Super LawyerSouthern California Super Lawyers2010
Southern California Super LawyerSouthern California Super Lawyers2009
Southern California Super LawyerSouthern California Super Lawyers2008
California's Top Mega-Rainmakers, $10 Million ClubLos Angeles Daily Journal2007
Southern California Super LawyerSouthern California Super Lawyers2007
500 Leading Lawyers in AmericaLawdragon2007
California's Top Mega-Rainmakers, $10 Million ClubLos Angeles Daily Journal2006
Leading Attorneys in the NationN/A2006
Southern California Super LawyerSouthern California Super Lawyers2006
Who's Who in American LawN/A2006
Top 10 Securities LitigatorsSecurities Law3602006
California's Top Mega-Rainmakers, $10 Million ClubLos Angeles Daily Journal2005
Who's Who in American LawN/A2005
Southern California Super LawyerSouthern California Super Lawyers2005
California's Top Mega-Rainmakers, $10 Million ClubLos Angeles Daily Journal2004
Southern California Super LawyerSouthern California Super Lawyers2004
Work experience
TitleCompany nameDuration
Managing Partner, Global Co-Chair of Securities LitigationDLA Piper LLP (US)2002 - Present
AttorneyBrobeck Phleger & Harrison1988 - 2002
Judicial Law Clerk to the Honorable John R. KronenbergU.S. District Court Central District Of California1986 - 1987
Judicial Extern to the Honorable Ralph J. GeffenU.S. District Court Central District Of California1985 - 1985
Associations
Association namePosition nameDuration
Beverly Hills Bar AssociationMemberN/A
Los Angeles County Bar AssociationMemberN/A
Publications
Publication nameTitleDate
Portfolio Media (Law360)How Courts Have Applied The FCC Stance On TCPA2015
Financier WorldwideCrunching the Numbers: Courts Square Off Over the Telephone Consumer Data Protection2015
Portfolio Media (Law360)Activist Investors — Brace Yourselves For 13D Changes2014
Corporate Board Member MagazineDerivatives Suits: Putting Your Best Foot Forward2013
Portfolio Media (Law360)Calif. Call-Recording Cases: What To Watch For In 20132013
Portfolio Media (Law360)A Preview Of Hedge Fund Enforcement Trends For 2013,2013
UnknownPutting The 'Hedge' Back2006
Lipper HedgeWorldThe Regulator Stays On The Beat: Hot Button Issues For The SEC In The Wake Of Recent Court Rulings On Registration Rules2006
LawdragonAdditional Hedge Fund Regulation: Unwise and Unnecessary2006
PIPEs: A Guide to Private Investments in Public Equity, Revised and Updated EditionLitigation Strategies: Managing Litigation Risk and Addressing Other Investor Concerns2006
Compliance ReporterAdvisers Act Registration & Compliance Requirement Primer2005
Andrews Securities Litigation & Regulation ReporterNew SEC Rules Change Regulation of Short Sales2004
The Journal of Investment ComplianceShort Sales: New Rules and Recent Enforcement Actions2004
NERA Consulting Working PaperThe Frontiers of Convertibles Financing: An Economic and Legal Perspective on Litigating Future Priced Securities2003
Education
School nameMajorDegreeGraduated
Loyola University School of LawLawJD - Juris Doctor1985
University of California - Los AngelesN/ABA - Bachelor of Arts1982
Speaking engagements
Conference nameTitleDate
DealFlow Media WebinarLatest Fund & Other SEC Investigations2012
PIPEs EuropeHedge Fund Legal Update: How Recent Litigation Can Teach Global Investors How to Protect Themselves2006