LITIGATION & ALTERNATIVE DISPUTE RESOLUTION

With extensive and varied experience in prosecuting and defending lawsuits, Rottenberg Lipman Rich’s litigators are skilled not just in handling formal litigation and other legal proceedings but also in counseling clients to avoid such proceedings. Our litigators have represented individuals, and small and large entities, across a wide variety of industries and subjects, and in all types of venues, from federal court, to state court, to arbitration and mediation hearing rooms. Rottenberg Lipman Rich’s litigation and alternative dispute resolution practice includes matters relating to all aspects of business, corporate and commercial law; employment contracts, restrictive covenant, discrimination and trade secrets; real estate and construction; securities and banking; defamation; entertainment and fashion; copyright and trademark; insurance; creditors’ rights; preference and fraudulent-transfer actions; enforcement of judgments; dissolution; and accounting matters – domestically and internationally.

Our litigators provide clients with the sophisticated and comprehensive representation that one expects from a large, prominent New York law firm, but with the speed, efficiency and responsiveness of a small firm. If efforts to resolve disputes without legal action do not come to fruition, Rottenberg Lipman Rich’s litigators work closely with clients to plan and implement a dispute-resolution strategy consistent with the clients’ goals and appropriate to the issues involved.


With significant experience in federal and state courts throughout the country, at both the trial and the appellate levels, our litigators also appear regularly before arbitration panels, including those of the American Arbitration Association (AAA), the Financial Industry Regulatory Authority (FINRA), and private industry tribunals. Many of these actions entail emergency relief, where the firm, on short notice, has defended against and prosecuted applications for injunctive relief.

Within our Litigation & Alternative Dispute Resolution practice, for disputes that span securities arbitration and disciplinary matters, Rottenberg Lipman Rich represents investors and other financial industry professionals, including broker-dealers, registered representatives, private equity firms, investment advisors and hedge funds in connection with securities litigation, arbitration, and mediation. Our attorneys represent clients in matters involving fraud, misrepresentations, churning, unsuitable investments, insider trading, unauthorized mutual fund switching, breach of fiduciary duty, and other allegations of wrongdoing by stockbrokers, financial planners, and others affiliated with the securities markets and industry. Rottenberg Lipman Rich also represents financial industry professionals in connection with formal and informal disciplinary proceedings before such governmental and self-regulatory agencies as the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Our attorneys routinely represent Wall Street executives and employers, negotiating and drafting employment and related agreements, as well as advising on executive terminations and departures/hires.

Rottenberg Lipman Rich’s attorneys also have deep experience working with quantitative traders, coders, portfolio managers and other professionals in the electronic and algorithmic trading industry, frequently counseling employers and employees on employment and related matters, including the protection of proprietary trading algorithms and intellectual property issues, and in litigation and arbitration.