Experience

Bankruptcy Litigation For Leading Payments Technology Company

Represented Visa in various litigation in bankruptcy cases throughout the U.S., including defending numerous preferential and fraudulent transfer claims in the Brookstone, American Apparel, Sears, Limited Stores, Gordmans and Charlotte Russe cases and defeating efforts to enjoin processing of large scale international transactions in the Galileo Learning and smarTours cases. 

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.

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.  

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.

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.

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.

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.

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.