Mike has rendered many awards and acted as a sole, emergency, chair and wing arbitrator in IP, contract matters, employment and joint venture matters involving claims for hundreds of millions of dollars, among other areas such as commercial transactions, for the AAA, CPR (administered and non-administered), LCIA, ICDR and other providers.  Mike has mediated many cases, about half reaching settlement.

As a former Deputy General Counsel of a publicly listed global holding company for broker-dealers and real estate brokerage and management companies, Mike has extensive geographic and subject matter experience. Litigation, employment and patent lawyers reported to Mike. He regularly worked with lawyers in other areas, especially when there were disputes, including for example, trade fails and commissions, contract, tax and IP, or regulatory implications. Mike supervised or conducted most whistleblowing and internal investigation matters globally, a field he entered while outside counsel to other companies. Mike spent about one-third of his time in London and handled matters in and travelled to Europe, Asia and South America.

As a general purpose commercial litigator for 40 years, Mike handled a wide variety of areas of law.
In addition to his earlier representation as an outside lawyer for Cantor/BGC, he acted for three other financial broker dealers. He represented the two largest banks in New Jersey (and a major out of state lender) in a variety of matters including loan work out, creditors rights in bankruptcy and banking law issues.

All kinds of intellectual property matters have been handled by Mike. He was involved in three pharma patent cases as trial counsel, including two Hatch Waxman cases to judgment. He was also involved in some non-pharma patent cases including in financial services. He handled several copyright cases for a music licensing agency as well as copyright cases for other parties. Mike has also been involved in several trademark matters. For nearly a decade he spoke annually at a CLE program on Intellectual Property Licensing.

Employment matter litigation in several international jurisdictions, arbitration and mediation in front of FINRA and AAA in over a dozen including employment contract disputes, discrimination claims and recruitment (including group moves) fall within his experience.

Antitrust and EU competition matters, including HSR and litigation, have been handled by Mike, as have franchise matters.  Both contractual deals and unsolicited M&A matters have dealt with by Mike.

Mike has represented disputants in closely held business disputes, as well as many other general contract disputes.  Mike has litigated two constitutional matters. Mike represented two nations and sued sovereign defendants.  [Text, including sample matters, continues below picture]

Fordham Vis Pre-moot

Both as counsel and arbitrator Mike is subject to duties of confidentiality. What follows is based on what has become public without Mike’s involvement. It is therefore not complete, nor necessarily even representative[1]. But hopefully this list illustrates the breadth and type of matters Mike has handled. Everything here is accessible as a final decision.  In the case of arbitration, access is in subsequent judicial proceedings or the arbitration was in a forum that publishes decisions. Access to each outcome is on the web, Westlaw or Lexis. In matters before 2008, Mike was counsel. For 2008 and after Mike had lead management responsibility as in-house counsel. Headings describing types of matters are for convenience, and not complete or official – matters are listed only once, even if they fit more than one category. While an exhaustive search has been attempted, success in that is not guaranteed.

MIKE’S

Arbitration Awards

Public Award – Tribunal Member

Hurley and JA Brookview v. EB Safe and others, Merits Award, Final Award. Issues from termination of joint venture

Public Award – Managed as In-house Counsel

GGAM v. Bloomberry Resorts, Final Award  Confirmed in Singapore and settled in  SDNY. Claim for breach of contract to develop and manage a casino. In-house for a GGAM participant.

Public Awards- Employment (US)

See below for cases as counsel – in-house or outside.

U.S. Court Cases

Art

Federal Insurance v. Cowen,145 Misc.2d 992 (1989)

Antitrust

Milliken & Co. v. F.T.C., 565 F.Supp. 511 (D.S.C. 1983)

Deering Milliken, Inc. v. Federal Trade Com., 647 F.2d 1124; related to Appeal of FTC Line of Business Report Litigation

Nishimura v. Dolan, 599 F. Supp. 484

Intervest Fin. Servs. v. S.G. Cowen Secs. Corp., 206 F. Supp. 2d 702

Banking

All American Auto Salvage v. Camp’s Auto Wreckers, 146 N.J. 15 679 A.2d 627 (1996), decided below as Citibank v. Coffey, 281 N.J. Super. 311

Rudbart v. N. Jersey Dist. Water Supply Com, 127 N.J. 344, 605 A.2d 681 (1992)

Bankruptcy

In re Glen Properties, 168 B.R. 537

Bernstein v. Crazy Eddie, Inc., 702 F. Supp. 962

In re Tribune Co. Fraudulent Conveyance Litig., 831 F. Supp. 2d 1371

Broker/Dealer

Cantor Fitzgerald Partners v. Municipal Partners, LLC, 11 A.D.3d 247 782 N.Y.S.2d 434 (1st Dept 2004)

Deutsche Bank Trust Company Americas et al v. Cantor Fitzgerald & Co. et al, Docket No. 1:11-cv-04900 (S.D.N.Y. Jul 15, 2011), Court Docket (07/15/2011)

Closely Held Co. Disputes

Groman v. Cola, 2007 U.S. Dist. LEXIS 82564

Constitutional Rights

Lysaght v. New Jersey, 837 F. Supp. 646      

A.S. Goldmen & Co. v. New Jersey Bureau of Sec., 163 F.3d 780

Contracts

E-Rate Consulting, Inc. v. Harrisburg Sch. Dist., 2006 U.S. Dist. LEXIS 93929

Copyright

Data Sys. Analysts, Inc. v. Netplex Group, Inc., 187 F.R.D. 181

In the Matter of the Arbitration Between: Track Data Securities Corp., (Claimant) v. Cantor Fitzgerald & Co., (Respondent), 2004 NASD Arb. LEXIS 708,

Employment

Siegel v. Alpha Wire Corp., 894 F.2d 50

Gallien v. Connecticut Gen. Life Ins. Co., 851 F. Supp. 547

Stilley v. American Chambers Life Ins. Co., 1992 U.S. Dist. LEXIS 8390

Tullett and Tokyo Forex, Inc. v. Linker, 226 A.D.2d 182 641 N.Y.S.2d 534 (1st Dept. 1996)

Burgie v. Euro Brokers, Inc. 482 F.Supp.2d 302 2007 WL 210419 and 2007 WL 669608 (2007 U.S. Dist. LEXIS 42479) EDNY

Cantor Fitzgerald, L.P. v. Peaslee, 88 F.3d 152

White v. Cantor Fitzgerald, L.P., 2008 U.S. Dist. LEXIS 106456; Campbell v. Cantor Fitzgerald & Co., 1999 U.S. App. LEXIS 34081(same litigant – marital status name change).

BGC Partners, L.P. v. Tullet Prebon Financial Services, LLC et al, Docket No. 1:14-cv-09143 (S.D.N.Y. Nov 17, 2014), Court Docket (11/17/2014)

Stern v. eSpeed, Inc., 2006 U.S. Dist. LEXIS 68655

Employment arbitration matters before FINRA/NASD in the Lexis online database

  1. In The Matter Of The Arbitration Between: Estate Of Stephen Roach (Claimant) v. Cantor Fitzgerald Sec. (Respondent)

      2. In The Matter Of The Arbitration Between: Marcello Campillay, (Claimant) v. Cantor Fitzgerald & Co., Inc., (Respondent)

      3. In The Matter Of The Arbitration Between: Cantor Fitzgerald & Co., Inc., (Claimant) v. Jefferies & Co., Inc. And Kenneth Swain, (Respondents)

     4. In The Matter Of The Arbitration Between Name Of Claimant Thomas Roberts v. Name Of Respondent Cantor Fitzgerald, G.P.

      5. In The Matter Of The Arbitration Between: Brian Gilmartin (Claimant) v. Cantor Fitzgerald Securities And Joseph Kelly (Respondents)

6. In The Matter Of The Arbitration Between: Vincent Coughlin, (Claimant) v. Cantor Fitzgerald Securities And Espeed, Inc., (Respondents)

        7. In the Matter of the Arbitration Between: David Waldman, (Claimant) v. Cantor Fitzgerald & Co., (Respondent) Case Number: 98-02593 Hearing Site: New York

8. Anonymized (Cantor) 2005 AAA Employment LEXIS 142

9. In the Matter of the Arbitration Between: Claimant, Andrew Hamilton Pritchard v. Respondent, Cantor Fitzgerald & Co., 2011 FINRA Arb. LEXIS 1373, Case Number: 09-06028, Case Number: 09-06028

10. Arbitration Between: Tullett Prebon Financial Services LLC, Tullett Prebon Americas Corp., Claimants v. BGC Financial, L.P., Michael Palladino, Anthony S. Arcabascio, Richard Lester Clarkson, Charles Michael Comparetto, Gregory James Golden, Timothy Michael Horan, Thomas Edward Killeen, Pierce James Ryan, Robert Andrew Steiniger, Resp., 2013 FINRA Arb. LEXIS 18

Environmental

Transtech Indus. v. A & Z Septic Clean, 798 F. Supp. 1079

In re Passaic County Utilities Authority Petition, 321 N.J. Super. 186

Franchise

Nat’l Fin. Group, Inc. v. Cajun Operating Co., 2007 U.S. Dist. LEXIS 9730

FSIA

Interlotto, Inc. v. National Lottery Admin., 298 N.J.Super. 127, 689 A.2d 148 (App.Div. 1987)

Government Action

N.Y. SMSA Ltd. P’ship v. Town of Clarkstown, 603 F. Supp. 2d 715

Matter of New York Times Co. v. Regenhard, 39 A.D.3d 414 (FOIL)

App. of County of Bergen, N.J. to Dissolve Bergen Co. Util. Auth., 268 N.J. Super. 403

Joint Venture and M&A

Sonnenberg v. Prospect Park Financial Corp., 1991 U.S. Dist. LEXIS 20428

Asarco, Inc. v. Court, 611 F. Supp. 468

Patents (Bio-Tech and Computer)

Cantor Index Matters – Disputes between REFCO and Cantor Fitzgerald: SDNY– 2014 U.S. Dist. LEXIS 79708, 88121, 155009;  2015 U.S. Dist. LEXIS 92301, 2017 U.S. Dist. LEXIS 162719. NY State Court – Fitzgerald Sec. v. Refco Sec., LLC, 2010 N.Y. Misc. LEXIS 3595, aff’d  83 A.D.3d 592, 922 N.Y.S.2d 312. Arbitration Between: Cantor Fitzgerald Securities, Claimant v. Refco Securities, LLC, Respondent, 2010 FINRA Arb. LEXIS 720, CASE NO. 06-02954, CASE NO. 06-02954

Trading Technologies Inter., Inc. v. BCG Partners, Inc. 2011 WL 1220013 (N.D. Il)

eSpeed, Inc. v. Bd. of Trade of Chi., Inc., 2002 U.S. Dist. LEXIS 7918

InKine Pharmaceutical Co., Inc. v. Coleman, 305 A.D.2d 151 759 N.Y.S.2d 62 (1st Dept 2003)

Cytodyne Techs., Inc. v. Biogenic Techs., Inc., 216 F.R.D. 533

Ortho-Mcneil v. Teva Pharms. USA, 2003 U.S. Dist. LEXIS 27901

InKine Pharm. Co. v. Coleman, 305 A.D.2d 151

Pharmacia Corp. v. Par Pharm., Inc., 2004 U.S. Dist. LEXIS 29192

Ortho-McNeil Pharm., Inc. v. Teva Pharms. USA, 2006 U.S. Dist. LEXIS 16697

Real Estate

DKM Residential Properties Corp. v. Township of Montgomery, 363 N.J. Super. 80

September 11

Cantor Fitzgerald & Co. v. Am. Airlines, Inc. (In re September 11 Litig.), 2009 U.S. Dist. LEXIS 100484, 2014 U.S. Dist. LEXIS 10397; 760 F. Supp. 2d 433. Reuters : American Air, Cantor Fitzgerald settle 9/11 suit

Trademark

Belekis v. Burberry Ltd., 2001 WL 34354947 (D.N.J.)

Felix The Cat Prods. v. Cal. Clock Co., 2007 U.S. Dist. LEXIS 25290

Qui Tam

United States ex rel. Hunt v. Merck-Medco Managed Care, L.L.C., 336 F. Supp. 2d 430

UCC -CSIG – Contract

Kanaf Arkia Airlines V. Fairchild Aircraft Corp., 1984 U.S. Dist. LEXIS 19229

English Court or Tribunal Cases[2]

Employment

  1. BGC Technology Support Services Ltd v Moore  [2014] UKEAT 0211_14_0511 (05 November 2014) (Mentioned in judgment re internal investigation) ([2014] UKEAT 0211_14_0511, [2014] UKEAT 211_14_511; From United Kingdom Employment Appeal Tribunal)
  2. Tullett Prebon Plc & Ors v BGC Brokers LP & Ors [2010] EWHC 484 (QB) (18 March 2010)  ([2010] EWHC 484 (QB), [2010] IRLR 648; From England and Wales High Court (Queen’s Bench Division); Tullett Prebon Plc & Ors v BGC Brokers LP & Ors [2010] EWHC 989 (QB) (06 May 2010) ([2010] 6 Costs LR 891, [2010] EWHC 989 (QB); From England and Wales High Court (Queen’s Bench Division)
  3. Tullett Prebon Plc & Ors v BGC Brokers LP & Ors [2011] EWCA Civ 131 (22 February 2011) ([2011] EWCA Civ 131, [2011] IRLR 420; From England and Wales Court of Appeal (Civil Division)
  4. BGC Capital Markets (Switzerland) LLC v Rees & Ors [2011] EWHC 2009 (QB) (27 July 2011) ([2011] EWHC 2009 (QB); From England and Wales High Court (Queen’s Bench Division)

VAT

Construction – Rectification – Estate Lease

[1] Several subscription services (e.g. Bloomberg, Westlaw, Lexis) permit docket searches that would reveal matters not listed here – that did not reach a public final result. The narrative description of Mike’s experience includes some of these and matters that were not contentious or never reached into formal dispute resolution.

[2] Mike is not a barrister or solicitor in England – these matters were actively managed as in-house counsel.