Litigation & Dispute Resolution
Di Santo LLP attorneys advocate on behalf of clients regarding all types of commercial matters, from routine contract disputes to complex, multi-jurisdictional litigation. Our clients range from broker dealers and large corporations to small service providers and individuals. The Firm has extensive experience in state and federal courts, at both the trial and appellate levels, as well as in arbitration, mediation and alternative dispute resolution. The Firm prides itself in not only aggressive and creative advocacy, but also in counseling clients in litigation avoidance and risk management.
A non-exclusive list of our practice includes: breach of contract and contract interpretation, shareholder derivative suits, predatory lending, licensing disputes, real estate, employment, construction, insurance, and securities litigation and arbitration.
We are committed to efficient, creative and effective representation of each client. Because we are a small firm, our clients speak directly to the partner handling their case. In the initial stages of representation, we work closely with each client to develop an overall case strategy. Many times matters can be quickly addressed through negotiation, alternative dispute resolution or motion practice. When a case cannot be resolved quickly, our attorneys are equipped to skillfully handle the litigation to conclusion, having successfully tried cases and argued appeals in federal and state courts in numerous jurisdictions.
Class Action & Complex Litigation
Di Santo LLP attorneys have many years of litigation experience in complex litigation in federal and state courts. Our litigation attorneys have also represented individual and corporate defendants in securities class actions across the United States. Our attorneys are skilled and are able to pursue and achieve successful outcomes for clients in the complex multi-party, multi-issue, multi-jurisdictional cases that are more and more common. Di Santo LLP attorneys are able to work in conjunction with the latest technology to achieve cost-effective and most effective legal representation possible.
Employment Compensation & Employment Matters
We advise companies, independent contractors and employees on executive compensation and employment matters arising throughout the course of their business and careers. Having worked with clients in industries such as technology, fashion and media, offshore services and private equity, we are aware of the legal issues involved regarding employment and work closely with clients in the drafting and negotiation of agreements such as invention assignment and proprietary agreements, restrictive covenant/non-solicitation noncompetition agreements, confidentiality and nondisclosure agreements, independent contractor, consulting and outsourcing agreements, severance agreements and profit sharing and stock plans. If and when the need arises, we also have the experience and resources to provide aggressive representation to employers in the courtroom, as well as such alternative dispute resolution forums as arbitration and mediation.
Securities Arbitration and FINRA Matters
We have extensive experience arbitrating claims before the New York Stock Exchange, FINRA, and the American Arbitration Association.
Our attorneys combine their experience and knowledge of the securities industry with an understanding of the arbitration process, its practicalities, procedures, forums and methods of enforcement. Our staff has routinely handled claims involving allegations of securities fraud, sales practice violations, and employment disputes. We also have experience with a wide range of financial instruments including common and preferred stock, futures contracts, options, mutual funds, corporate and government bonds, structured notes, emerging market debt, partnership interests, derivatives and swaps.
When an arbitration claim is filed, we will work with your brokers and your supervisory personnel to prepare an intelligent, vigorous and strategically aggressive defense. We will obtain the information and documentation necessary to effectively evaluate the merits of the claim and promptly analyze the strengths and weaknesses of your adversary’s case and of your own. We will also prepare an effective answer, comprehensive discovery requests and prepare persuasive briefs, when necessary. Our arbitration experience, together with our transactional experience, uniquely positions us to provide a comprehensive array of defenses for our clients.
Securities Regulation & Enforcement
Our attorneys counsel and represent a wide range of clients engaged in the securities industry who provide brokerage, investment banking and investment advisory services, which include full service broker-dealers, hedge funds, investment managers, funds, and banks. Di Santo LLP has experience in representing securities industry professionals in connection with investigations and enforcement proceedings conducted by a variety of government and self-regulatory agencies.
Our attorneys have broad-based experience in the broker-dealer, regulatory and advisory areas. Our clients benefit from our ability to draw upon the expertise of our attorneys in other practice areas to provide a comprehensive blend of backgrounds and supply a full complement of legal services to our securities clients.
The securities industry is highly regulated and under increasing scrutiny and it is relatively easy for a securities firm and/or its employees to inadvertently fail to observe all of the rules and regulations. Moreover, regulators are under increasing pressure to extract heavy penalties, most often in the form of a monetary fine, for even the slightest infractions by a securities firm and/or its employees. The attorneys at Di Santo LLP realize that individuals employed in the securities industry do not want to waste precious resources dealing with extraneous regulatory matters. We counsel our clients so that interactions with regulators are both minimal and trouble-free when they do occur.