Experience

Rating: 8.8 (Excellent)

Honors

2014

Washington Superlawyers, Superlawyers

1997

AV Peer Review rating, Martindale-Hubbell

1976

Letter of Commendation, The Judge Advocate General

1965

Scholarship to the University of Kentucky, National Aeronautics and Space Administration

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Work Experience

1977 - 1982

Enforcement Attorney, U.S. Securities and Exchange Commission

1974 - 1977

Trial Attorney, US Army JAG Corps

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Associations

1994 - Present

Securities Industry Association/Securities Industry and Financial Markets Association

Member

2001 - 2009

King County Bar Foundation

Trustee

1981 - 2009

Washington Society of CPAs

Certified Public Accountant

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Sample of Legal Cases

Gig Harbor Family Trust et al. v. Columbia Valuation Group, Inc. et al; King County Cause No. 13-2-04399-8 SEA:

After a trial that lasted more than two weeks, the jury favorably answered the 14-page verdict form in less than two hours, dismissing all claims against our client.

Garrison Family LLC v. Wells Fargo Investments LLC

Claims Denied in Entirety

Credit Suisse Securities et al. v. Simmonds

Supreme Court confirmed our position and remanded

In the Matter of Erez Bahar, et al.

More favorable than regulators demand

Sleight v. Centaurus Financial, Inc.

Award was one half of adversay settlement demand

Sharebuilder Securities Corporation v. NYSE Arca Equities, Inc.

Dismissal

Neves v. Chase Investment Services Corp.

Dismissal of all claims, expungement of complaint from representative's record and partial attorney fee recovery of $50,000 from customer.

In re 16(b) Litigation

Cases were dismissed

Johnson v Dean Witter Reynolds

All claims dismissed

Federal Home Loan Bank of Seattle v. Morgan Stanley & Co., Inc. et al.

Ongoing

In re: Section 16(b) Litigation

Order dismissing cases on March 12, 2009

Bennett v Maloney

Won jury trial, won appeal of JNOV

Holiday Inns

Settled for $0

Piper Jaffrey v First Union

Defeated injunction and minimized damages

Canyons Restaurant v Canyon Cafe

Favorable jury verdict of intential infringement

Dann v Lincoln Life

Dismissal of adverse party claims

Buskey v Morgan Stanley Dean Witter

Order dismissing all but one claim, settled cheap

Villareal v Morgan Stanley Dean Witter

Dismissal by arbitration panel

In the Matter of John A. Carley et al.

Award limited to $1 million out of $28 million

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Education

1970

University of Kansas

B.A. and B.S.

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Speaking Engagements

2009

Northwest Securities Institute

Recent Broker-Dealer Developments in FINRA Regulation, Arbitration and Litigation

2009

Law Seminars International

Departing Employees and Intellectual Property

2008

National Business Institute Seminar

Defending Claims Brought by Regulators

2006

The Seminar Group CLE

The Liability of Representing Financial Interests

2004

National Business Institute

Corporate Trade Secret Protection in Washington

2001

King County Bar Association CLE

Money Troubles: Pursuing and Defending Claims Against Stockbrokers and Brokerage Firms

2000

Intellectual Property Institute

Competing for Talent and Protecting Business Value: Non-Compete Agreements and Trade Secret Law in Washington

1999

National Business Institute Seminar

Stockbroker Fraud in Washington: Defenses Utilized by the Stockbroker or Broker/Dealer

1998

King County Bar Association CLE

Stockbroker Litigation: Pursuing and Defending Claims Against Stockbrokers and Brokerage Firms

1997

Washington State Bar Association CLE

The Nuts and Bolts, Putting Together a Fraud Case

1997

Northwest Securities Institute

Ethical Issues Often Encountered in Securities Matters

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Publications

2009

Northwest Securities Institute (co-author and panel speaker) Recent Broker-Dealer Developments in FINRA Regulation, Arbitration and Litigation

2009

Law Seminars International (Co-author and panel speaker) Departing Employees and Intellectual Property

2008

National Business Institute Seminar (author and speaker) Defending Claims Brought By Regulators

2006

The Seminar Group CLE, November 3, 2006 (program co-chair and speaker) The Liability of Representing Financial Interests

2004

National Business Institute CLE, January 12, 2004 (co-author and speaker) Corporate Trade Secret Protection in Washington

2001

King County Bar Association CLE, November 8, 2001 (co-author and speaker) Money Troubles: Pursuing and Defending Claims Against Stockbrokers and Brokerage Firms

2000

Washington State Bar Association’s Fifth Annual Intellectual Property Institute, March 24, 2000 (co-author and speaker). Competing for Talent and Protecting Business Value: Non-Compete Agreements and Trade Secret Law in Washington

2000

Washington State Bar Association Business Law Institute, Stockholder Lawsuits – Inviting and Avoiding Them

1999

King County Bar Association (panel co-chair and author) Representing the High Technology Firm

1999

Defenses Utilized by the Stockbroker or Broker/Dealer, National Business Institute Seminar (author and speaker) Stockbroker Fraud in Washington: Defenses Utilized by the Stockbroker or Broker/Dealer

1998

King County Bar Association CLE (author and speaker) Stockbroker Litigation: Pursuing and Defending Claims Against Stockbrokers and Brokerage Firms

1997

Washington State Bar Association CLE (author and speaker) The Nuts and Bolts, Putting Together a Fraud Case

1997

Northwest Securities Institute (author and speaker) Ethical Issues Often Encountered in Securities Matters

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Languages

German

French

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