Experience
First Republic Bank
We assist First Republic Bank with structuring, drafting and negotiating loan documents for its individual and business clients for business acquisition loans, real estate acquisition loans, short and long term real estate term loans, equity and accounts receivable secured personal and commercial lines of credit, real estate construction loans and loans for buy-outs and recapitalizations.
Silicon Valley Bank
We assist Silicon Valley Bank’s premium wine banking group with structuring, drafting and negotiating loan documents for its winery clients in connection with vineyard and winery acquisition and development loans, short and long term real estate term loans, inventory and accounts receivable secured working capital lines of credit, winery construction loans and loans for buy-outs and recapitalizations.
Beneficial State Foundation
Advisor to founders of Foundation created as a bank holding company to advance triple bottom line banking. We advise on all matters related to business and governance structure, tax, employment, corporate, real estate, regulatory and other matters.
Wells Fargo Bank as Investment Trustee of the Buck Trust
Represented Wells Fargo Bank as Investment Trustee of the Buck Trust, a $1 billion trust, on all legal matters including tax and regulatory compliance.
BTIG LLC
Represented BTIG, a large international broker-dealer, in connection with investments in BTIG by Goldman Sachs, Credit Lyonnaise and Blackstone, and in the establishment of BTIG’s investment banking and asset management businesses.
Wells Fargo Bank
Serve as counsel for eighteen Wells Fargo current and former employees ranging from senior executives to a member of the Wells Fargo litigation department to private financial advisers in internal (Audit Committee) and multiple federal government (DOJ, SEC, OCC, and state attorneys general) investigations and civil suits regarding allegations of improper retail and wealth management sales practices and improper consumer lending practices.
United Commercial Bank
Defended a former officer of failed bank in defense of securities class action, bankruptcy trustee action, FDIC enforcement and administrative actions and related government investigations.
Actus LLC v. Bank of America Corp, et al
We defended Sonic Solutions in litigation filed in the Eastern District of Texas by Actus LLC, a patent holding company, that asserted infringement claims on four patents relating to an electronic payments system directed at companies offering prepaid gift cards and online payment options for customers. We were able to obtain an early favorable settlement for Sonic to avoid further costly legal proceedings.
DataTern v Bank of America Corp. et al.
We defended Visa Inc. in a lawsuit filed by DataTern against it and others in the Eastern District of Texas which claimed that Visa was infringing DataTern's ‘402 patent titled "System for enabling access to a relational database from an object oriented program." We obtained a successful settlement of the case for Visa.
Employee Transitions; Restrictive Covenants
In a New York Stock Exchange arbitration involving the enforcement of a non-competition clause, we obtained a $3.4 million award on behalf of three former partners of an investment bank. In addition, the arbitrators took the extraordinary step of granting our request for attorneys' fees, although there was no attorneys' fees provision in the contract at issue.
Every Penny Counts, Inc. v. American Express Co., et al.
Defended Visa U.S.A. Inc. in a case where the plaintiff accused Visa’s gift card technology of infringing five patents. We prevailed on a case-dispositive claim construction at the district court, leading to a stipulated judgment of non-infringement on all five patents. The Federal Circuit upheld the claim construction and judgment on appeal. 563 F.3d 1378 (Fed. Cir. 2009). A petition for en banc rehearing and petition for writ of certiorari were both denied.
Grunfeld v Taldan Investment Co.
Represented Ernie Grunfeld (current President of Basketball Operations for the Washington Wizards and former NBA star) in a two week trial before U.S. District Court Judge Lowell Jensen to successfully prosecute claims for breach of contract and breach of fiduciary duty against Taldan Investment Company arising from failed real estate investments. (U.S. District Court, Northern District of California)
Gump v Wells Fargo Bank (San Francisco Superior Court)
Defended Wells Fargo Bank in a four month trial against multi-million dollar claims for breach of trust and breach of fiduciary duty. The trial involved a challenge to the bank's role as trustee for the Gump trust, whose primary assets were the Gump's department store in San Francisco, in addition to various real estate holdings and other assets. (San Francisco Superior Court)
Perpetual Energy Systems
Represented Perpetual Energy Systems in connection with renewable energy/construction financing of a $35 million construction term loan and tax equity investment. U.S. Bank served as the construction lender and tax equity sponsor.
Securities Fraud
Currently representing targets and witnesses in various securities fraud investigations and trials.
- Representing targets and witnesses in various securities fraud investigations directed by SEC and U.S. Attorneys' Offices in San Francisco, Los Angeles, and Washington D.C.
- Tried complex criminal securities fraud cases to jury verdicts in U.S. District Court for the Northern District of California.
- Resolved federal criminal and SEC cases alleging revenue recognition fraud against former vice president of international sales of a publicly traded company.
- Resolved federal criminal insider-trading cases against high-tech engineer and attorney, including successful motions for downward departure at sentencing and probation in both cases.
- Defended former CFO in SEC investigation of revenue recognition and accounting fraud. No enforcement proceedings were filed.
- Represented controller of publicly traded company in parallel civil actions and SEC/DOJ investigations arising from securities fraud actions stemming from merger of pharmaceutical companies.
- Represented general counsel of public company in SEC investigation of possible SOX "reporting up" violation.
- Represented current and former officers and directors in state and federal derivative and shareholder litigation arising from alleged options backdating.
- Represented former outside director in state and federal cases brought by company special litigation committee against former management, board members, and others in connection with allegations of backdated stock options.
- Represented special committee of public national bank in investigation of bank's compliance with anti-money laundering statutes and related regulations.
- Representing CFO in DOJ prosecution and parallel SEC case relating to alleged backdating of stock option exercises and related tax evasion counts.
- Defending the founder and former CEO of public software company in connection with an SEC enforcement case pending in the Northern District of California (San Jose) alleging revenue recognition violations.
Sessions Tank Liners v. Joor Manufacturing
Served as co-counsel on appeal overturning an adverse ruling in favor of plaintiff in an antitrust action involving the Noerr-Pennington doctrine..
Visa v. Maritz
Represented Visa in connection with claims against Maritz arising out of Maritz's attempt to develop and deploy a points based rewards program for Visa and its members.