June 10 2019
Matthew B. Baum, a member of the Firm, is a securities and commercial litigator.
Mr. Baum’s practice focuses on representing financial industry participants, including broker-dealers, advisors, and investment advisory firms. He represents clients in customer and industry disputes, FINRA and SEC Enforcement proceedings and investigations, securities licensing issues, employment matters, transitions, arbitrations, and court actions. He has represented clients in over 75 FINRA arbitrations.
Mr. Baum has litigated claims involving contracts, fiduciary duties, suitability, supervision, raiding, trade secrets, fraud, non-competition and non-solicitation restrictions, business torts, defamation, expungement, wrongful termination, negligence, and RICO.
Mr. Baum also regularly represents clients in business disputes unrelated to financial services.
In 2017, 2018, and 2019, Super Lawyers selected Mr. Baum as a Rising Star.
Prior to joining the Firm, Mr. Baum practiced at Gusrae Kaplan Nusbaum PLLC, which was named by BTI Consulting Group as one of the Most Feared Firms in Litigation for three years in a row.
He is also the host of RIAcast (www.riacast.com), a podcast focused on the investment advisory community in which he has recorded episodes with top leaders and influencers in the RIA space.
Mr. Baum received a Bachelor of Arts degree from the University of Michigan and a Juris Doctor from New York Law School, where he served as the Coordinating Notes Editor of the New York Law School Law Review.
Mr. Baum is admitted in New York, New Jersey, and the U.S. District Court for the Southern and Eastern Districts of New York and the District of New Jersey.
• FINRA Case No. 15-02425 (Lead Counsel) (Award: May 4, 2018): obtained denial of fraud-based claims against a FINRA Associated Person in connection with a sunset agreement.
• FINRA Case No. 12-03218 (Lead Counsel) (Award: February 8, 2017): obtained denial of all claims of 32 investors on a motion to dismiss prior to presenting defense case-in-chief.
• AAA Case (Lead Counsel) (Award: February 25, 2016): obtained Award of $1,463,435 plus attorneys’ fees and costs to be paid by public company on a breach of contract claim.
• FINRA Case No. 12-03755 (Lead Counsel) (Award: April 9, 2015): obtained denial of all claims of more than $450,000, expungement, and all costs assessed against elderly Claimant.
• FINRA Case No. 09-04736 (2nd Chair) (Award: November 5, 2014): obtained denial of all claims, including RICO, and award of $108,943.94 in attorneys’ fees on behalf of FINRA Member firm following 76 hearing session arbitration.
• FINRA Case No. 07-03369 (Lead Counsel) (Award: September 26, 2014): obtained award of $75,000 and all forum fees assessed against a Respondent on behalf of former brokers.
• FINRA Case No. 10-05146 (2nd Chair) (Award: February 21, 2014): obtained denial of $8 million claim on behalf of independent brokerage firm branch and brokers.
June 10 2019
Joanna R. Cohen is a litigation associate with the Firm. Her experience includes representation of clients in litigation in federal and state courts. Prior to joining the firm, Ms. Cohen was associated with a boutique law firm specializing in securities litigation and arbitration. Ms. Cohen also worked as an Assistant Attorney General for the State of New York defending the State in litigation in federal and state courts.
Ms. Cohen received her Juris Doctor degree from Fordham University School of Law in 2012 and a Bachelor’s Degree from Vanderbilt University in 2009. She is admitted to practice in New York and New Jersey.
June 10 2019
Anthony Galano, III, a member of the Firm, focuses his practice on state and federal court litigation, appellate work, and arbitration. His practice includes representing business entities and individuals in complex commercial litigation; his experience encompasses various construction disputes, real estate matters, mechanics’ liens, sophisticated contract and fraud disputes, unfair competition, consumer credit, judgment enforcement, copyright, trademark and Lanham Act cases. He has represented multinational biopharmaceutical, engineering, construction and architectural firms, investment banks, various commercial and residential property owners and developers in New York, national franchisors, commodities traders, high-end transportation service providers, condominium associations and cooperative corporations, restaurant owners and a television news talent agency. He also represents professionals in a variety of fields, including securities trading, engineering, architecture, fashion design, public relations, and real estate brokerage. He has litigated before the American Arbitration Association, and the trial and appellate courts, state and federal, in New York, California, New Jersey and Florida.
Prior to joining the firm, Mr. Galano was a law clerk to the Hon. Joanna Seybert, United States District Court Judge, Eastern District of New York, and was associated with the firm of Sinnreich Wasserman & Grubin, LLP.
Mr. Galano received his Juris Doctor Degree from Pace University School of Law where he was the Editor-in-Chief of the Pace International Law Review. He authored “International Monetary Fund Response to the Brazilian Debt Crisis: Whether the Effects of Conditionality Have Undermined Brazil’s National Sovereignty,” 6 Pace Int’l L. Rev. 323.
Mr. Galano graduated cum laude from Skidmore College with honors in Political-Economy. He is admitted to practice law before the courts of New York, the United States District Courts for the Southern and Eastern Districts of New York, and the United States Court of Appeals for the Second Circuit.
June 10 2019
David A. Gehn, a member of the Firm, is the head of the firm’s Litigation and Regulatory Enforcement group. Mr. Gehn has been representing clients ranging from the largest broker-dealers and registered investment advisors to individuals in large and complex civil, criminal, and regulatory investigations and litigation, as well as in contractual and transitional matters for over the last 25 years. Mr. Gehn also represents professional athletes and was formerly a certified NFL Contract Advisor.
Since 1992, Mr. Gehn has concentrated his practice in the financial services industry. Early in his career, among other things, Mr. Gehn filed approximately 20 cases against the self-professed Wolf of Wall Street, Jordan Belfort, and Stratton Oakmont, all of which settled for millions of dollars in the aggregate. Mr. Gehn also filed other well publicized cases in the 1990’s, including a civil action against Marion “Suge” Knight, former owner of Death Row Records, based upon an assault at a Death Row Christmas party.
From 1998 to 2000, Mr. Gehn was General Counsel of Bluestone Capital, a broker-dealer, and its online trading division, Trade.com.
Prior to joining the firm, Mr. Gehn was a Member of Gusrae Kaplan Nusbaum, PLLC for over 16 years. While there, he was one of three attorneys who filed a federal class action in the Southern District of New York against, Fairfield Greenwich Limited, et al., the largest Bernard L. Madoff Investment Securities “feeder fund”, which settled for an amount in excess of $250 million. From 2014-2016, Gusrae Kaplan was recognized by BTI Consulting Group as an “honor roll” member on its list of the nation’s 50 “most feared” litigation law firms.
Overall, Mr. Gehn has almost 100 reported FINRA arbitration awards, which include 7 matters in which he has obtained expungement for his clients. He also litigates in federal and state courts, with several matters resulting in published opinions.
Mr. Gehn has represented financial professionals in multiple SEC, FINRA, and CFP investigations and enforcement proceedings. In 2020, Mr. Gehn has already successfully closed an SEC Investigation with “no action” and 5 FINRA and State regulatory investigations by way of a “letter of caution”.
Mr. Gehn also advises financial professionals concerning the transition of their financial practice, FINRA inquiries, non-solicit/non-compete issues, and Protocol compliance. Mr. Gehn was named the “top Protocol attorney in the United States” by AdvisorHub.” Over the last 2 years, Mr. Gehn has worked with over 125 financial professionals in the transition of their professional practices. He is familiar with the traditional, independent, RIA, and bank brokerage models.
Mr. Gehn also has an active practice representing professional athletes. Since 2016, Mr. Gehn has represented at least 1 player selected in the 1st round of the NFL draft, including a top 15 selection in the 2017 NFL Draft and a top 10 selection in the 2016 NFL Draft. Mr. Gehn also represents several other active and retired players.
June 10 2019
John Brilling Horgan, a member of the Firm, is a seasoned commercial litigator. He represents clients before state and federal trial and appellate courts, as well as AAA, JAMS, private arbitration panels, and the SEC. His practice includes litigating claims involving fraud, trade secrets, business torts, breaches of contract, and professional misconduct. Mr. Horgan also has deep and broad experience advising controlling shareholders, directors, and officers of public and private companies, in pre-, pending-, and post-litigation settings, with respect to fiduciary duties and transactional fairness issues.
SuperLawyers has selected Mr. Horgan as a Rising Star for 2017 and 2018, and he is admitted to practice in New York State, as well as the United States Court of Appeals for the Second Circuit, and the United States District Courts for the Southern and Eastern Districts of New York.
Prior to joining the Firm, Mr. Horgan practiced at Dewey & LeBoeuf LLP, where his litigation experience included defending against claims of money laundering and terrorism finance under the Anti-Terrorism Act and Alient Tort Statute, as well as alleged violations of the Fair Labor Standards Act.
Mr. Horgan is a graduate of Cornell Law School, where he served as an editor of the Cornell Journal of Law and Public Policy. He is a 2005 graduate of the Edmund A. Walsh School of Foreign Service at Georgetown University, where he earned a degree cum laude in International Politics and a concentration in International Security.
February 07 2020
Lee Yun Kim is an associate with the Litigation practice group of the Firm. Her experience includes representing clients in arbitrations and in state and federal courts. Prior to joining the firm, Ms. Kim worked at a boutique law firm specializing in complex antitrust litigation, representing class plaintiffs and national healthcare providers in commodities manipulation, healthcare, and pharmaceutical overcharge cases.
Ms. Kim received her Juris Doctor degree from Fordham University School of Law in 2014 and a Bachelor’s Degree in Business Administration with a concentration in International Management from Boston University’s School of Management in 2010. She is admitted to practice in New York and New Jersey, as well as the United States District Court for the Southern District of New York. She is a native Korean speaker.
June 10 2019
Fawn Lee is an associate with the Litigation practice group of the Firm. Her experience includes representing clients in arbitrations and in state and federal courts. Prior to joining the firm, Ms. Lee worked at a boutique law firm specializing in securities litigation, representing customers in disputes before FINRA, the NFA and state courts, as well as, representing brokers in FINRA expungement cases and FINRA and SEC enforcement actions. Ms. Lee has also represented clients in commercial contract disputes in state and federal courts.
Ms. Lee received her Juris Doctor degree from Fordham University School of Law in 2014 and a Bachelor’s Degree in Economics from St. John’s University in 2011. She is admitted to practice in New York and New Jersey, as well as the United States District Courts for the Southern District of New York and the Eastern District of New York.
June 10 2019
John C. Stellabotte is a Member of the Firm in its Intellectual Property and Litigation Practice Groups. Mr. Stellabotte is a registered patent attorney and has extensive experience litigating patent, copyright, trade secret, antitrust, contract, tort, trademark, false advertising, and information technology related matters in federal and state trial and appellate courts, including case preparation and strategy, fact and expert discovery, depositions, motion practice, Markman hearings, preliminary injunction hearings, bench and jury trials, arbitrations, mediations, appeals, and settlement negotiations.
Mr. Stellabotte’s practice also focuses on counseling clients in patent portfolio development. He has significant experience in patent prosecution and has experience in USPTO inter partes review and reexamination proceedings. He also has experience providing patent noninfringement and invalidity opinions.
Mr. Stellabotte has worked on matters involving a broad range of technologies, including computer hardware and software, consumer electronics, telecommunications products and services, smart phones, tablets, and mobile media technologies, data transmission, Internet, digital video compression standards, CDs and DVDs, mobile phones, the ATSC digital television standard, navigation and location-based services, pharmaceutical capsules, biotechnology, including immunoassays, home pregnancy and other diagnostic tests, and medical devices, financial services, e-commerce, pharmaceuticals, and food products and processes.
Mr. Stellabotte handles transactional work, including intellectual property due diligence, intellectual property licensing, information technology agreements, and product distribution agreements. He has advised clients on nondisclosure agreements, intellectual property corporate policies, and intellectual property aspects of employment agreements.
Mr. Stellabotte also has significant experience litigating and advising on general commercial matters involving a wide range of subject matter, including mergers and acquisitions, corporate governance, federal securities, antitrust, contract, tort, product liability, employment, environmental, insurance, bankruptcy, and federal habeas corpus (pro bono).
Prior to joining the Firm, Mr. Stellabotte was Senior Counsel at Proskauer Rose LLP in the Patent, Intellectual Property, and Litigation Groups, where he practiced for 16 years. He was previously an Associate in the Litigation Group at Sullivan & Cromwell.
He received his Bachelor of Science degree in Mechanical Engineering from The Columbia University School of Engineering and Applied Science, where he was inducted into Tau Beta Pi (the Engineering National Honor Society). He received his Juris doctor degree from The George Washington University School of Law with High Honors, where he was an Associate Editor of The George Washington Law Review and a Member of the Moot Court Board. Mr. Stellabotte also has been active in bar associations and is a current Member of the New York Intellectual Property Law Association Patent Litigation Committee.
He is admitted to practice in the United States Patent and Trademark Office, New York, New Jersey, the United States District Courts for the Southern and Eastern Districts of New York, the District of New Jersey, the Eastern District of Michigan, and the United States Court of Appeals for the Federal Circuit.
June 10 2019
Eric Weinstein, a member of the Firm, handles business litigation. Mr. Weinstein has handled, on behalf of lenders, a variety of mortgage banking disputes involving mortgage fraud and recovery, title insurance coverage and predatory lending. He lectures frequently on those topics. Mr. Weinstein also handles complex breach of contract, fiduciary duties and other business torts—all of which were implicated in case he argued and won in a controversial (4-3) decision before the New York Court of Appeals (Tzolis v. Wolff). Mr. Weinstein also has considerable experience litigating intellectual property, defamation and employment discrimination cases. Mr. Weinstein is admitted to the New York State Bar, the U.S. District Courts for the Southern, Eastern, and Northern Districts of New York, and the U.S. Courts of Appeals for the Second and Sixth Circuits.
Mr. Weinstein graduated cum laude from the University of Pennsylvania and received a J.D. degree from the UCLA School of Law, where he was an associate editor of the UCLA Law Review. He began his career as an associate with the Kaye Scholer firm and eventually co-founded Feldman Weinstein & Smith, where he managed the firm’s litigation department. He is a Member of the Association of the Bar of the City of New York.