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Phi Beta Kappa (Staff Member, 1979-1980; Research Editor, 1980-1981), Moot Court Board. Trial Counsel, Division of Enforcement, New York Stock Exchange, Inc., 1989-2001. Co-author: "The Enforcement Role of the New York Stock Exchange," 85 NW. U. L. Rev. 637, Spring 1991. Author: "The Challenges of Hedge Fund Regulation After the Pequot Investigation and Goldstein v. SEC," PLI, Securities Arbitration 2007: Arbitrators and Mediators - Winning Their Hearts and Minds. Author: "The Confrontation Clause under Crawford v. Washington and Its Progeny," Proof, The Journal of the Trial Evidence Committee, Section of Litigation, American Bar Association, Winter 2010, Vol. 18 No. 2. Author: "The Limited Nature of Post-Arbitration Judicial Proceedings," Verdict, The Journal of the Trial Practice Committee, Section of Litigation, American Bar Association, Winter 2011, Vol. 25, No. 1.
Biography
Phi Beta Kappa (Staff Member, 1979-1980; Research Editor, 1980-1981), Moot Court Board. Trial Counsel, Division of Enforcement, New York Stock Exchange, Inc., 1989-2001. Co-author: "The Enforcement Role of the New York Stock Exchange," 85 NW. U. L. Rev. 637, Spring 1991. Author: "The Challenges of Hedge Fund Regulation After the Pequot Investigation and Goldstein v. SEC," PLI, Securities Arbitration 2007: Arbitrators and Mediators - Winning Their Hearts and Minds. Author: "The Confrontation Clause under Crawford v. Washington and Its Progeny," Proof, The Journal of the Trial Evidence Committee, Section of Litigation, American Bar Association, Winter 2010, Vol. 18 No. 2. Author: "The Limited Nature of Post-Arbitration Judicial Proceedings," Verdict, The Journal of the Trial Practice Committee, Section of Litigation, American Bar Association, Winter 2011, Vol. 25, No. 1.
Education
- Admission Details 1982, New York 1984, U.S. District Court, Northern District of New York 1984, U.S. District Court, Western District of New York 1986, U.S. Court of Appeals, Second Circuit 2004, Georgia 2004, U.S. District Court, Northern District of Georgia 1982, U.S. District Court, Eastern and Southern Districts of New York Law School Attended New York University Class of 1981 J.D. cum laude University Attended New York University Class of 1978 B.A. cum laude Associations & Memberships American Bar Association (Member, Litigation Section) New York State Bar Association New York City Bar Association State Bar of Georgia Securities Industry and Financial Markets Association (Member, Compliance and Legal Division) Atlanta Bar Association (Member, Labor and Employment and Litigation Sections) National Society of Compliance Professionals. Representative Cases The H&R Block Severance Plan v. Thomas P. Fitzgerald, 2007 U.S. District LEXIS 79577 (W.D. Mo. 2007) Gemveto Jewelry Company, Inc. v. Jeff Cooper, Incorporated, et al, 694 F.Supp. 1885 (S.D.N.Y. 1988) Steven Thorlief Rangen, 1997 SEC LEXIS 762, 52. S.E.C. 1304 Neil C. Sullivan, 1994 SEC LEXIS 386, 51 S.E.C. 974 Nomura Securities International, Inc., NYSE Disc Action 95-138, 1995 NYSE Disc. Action LEXIS 138, Moret v. Wachovia Securities, Inc., 2004 NASD Arb LEXIS 2440, Bear Stearns & Co. Inc., v. Gregory A. Fisher, 2007 NASD Arb LEXIS 880 Thomas P. Fitzgerald v. H&R Block Financial Advisors, Inc., et al. 2008 NASD Arb LEXIS 159.
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