Defense Verdict After Week-Long Arbitration for Brokerage Firm

Successfully defended a brokerage firm against claims brought by an investor alleging unsuitable trading, misrepresentation, breach of fiduciary duty, and violation of the Kansas Securities Act. The plaintiff sought damages of $700,000. Secured a complete defense verdict after week-long arbitration.

Mediation Experience

Ray has served as a mediator in a number of complex multi-party cases. Representative cases include a dispute over damages and remediation of a contaminated landfill; a dispute over claims by personal seat license holders against an national sports league team that left the city; a class action dispute concerning wage calculations; a class action dispute concerning promotional policies and testing; a whistleblower claim against a governmental agency; and a complex multi-partner dispute.

Multiple Defense Verdicts, Favorable Settlements for Global Software Company

Litigated multiple AAA consumer arbitrations on behalf of global software company resulting in multiple defense verdicts or favorable settlement terms.

Successful Arbitration for Financial Advisory Firm

Secured favorable outcome for our client, a financial advisory firm, in a two-phase arbitration. Phase one involved interpretation and application of a lowest contractual fee schedule provision in a subadvisory agreement. After a six-day hearing, an arbitration panel awarded award our client over $750,000; rejected a request by our opponent for $680,000; and found that our client was the prevailing party for purposes of a fee award. Phase two addressed alleged violations of confidentiality and noncompete provisions, for which the opponent sought more than $17.5 million in damages. The arbitration panel rejected the confidentiality claim and awarded less than $95,000 on the noncompete claim, amounting to just 0.5 percent of the damages requested.

Won Settlement in Breach of Contract Arbitration for Former Senior Executive

Won a confidential settlement in a breach of contract arbitration claim filed by a former senior executive against his former employer, a major national retailer.