Securities Resume
I am a graduate of Harvard Law School.
I've spent the past 29 years litigating, arbitrating, prosecuting, and defending securities and
commodities cases in trials and arbitrations. I worked in the U.S.
Securities & Exchange Commission Division of Trading and Markets, with
oversight responsibility for broker/dealers and specialists on the NYSE. I worked at the Rand Corporation on a study of the securities industry. I
am a member of the California (1971), District of
Columbia (1969) and U.S. Supreme Court
(1975) Bars. I was a member of the California State Bar Committee on Professional
Responsibility and Conduct (1978-1983); Vice Chair (1980-1981), Chairman (1981-1982). I
was a member of the California State Bar Committee on Federal Courts (1984 to 1987).
My law practice has been limited primarily to federal litigation in civil rights and corporate
securities, including plaintiff's class actions. I acted as sole or lead counsel in thirteen federal
civil jury trials (134 days), 12 to verdicts (6 wins, 6 losses) and one hung; four were death cases.
I acted as sole or lead counsel in 25 additional federal civil cases (eight were death cases), most
fully pretried and settled on the eve of trial. I acted as sole or lead counsel in briefing 14 Ninth
Circuit appeals, argued 11 (one pending, 7 won, 6 lost). Briefed, argued and lost one case
in the U.S. Supreme Court --Lyons v. City of Los Angeles (Los Angeles Police Department
choke hold case).
I have also been active in defending registered representatives in criminal, SEC, and other
regulatory actions.
EDUCATION
SECURITIES EXPERIENCE
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