Law Firm News

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Law Firm News

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Schuyler, Roche & Crisham, P.C.

Roche and Irons Obtain NASD Win
As reported in the Securities Arbitration Commentator (SAC), Michael B. Roche and Ernest W. Irons recently secured an important victory on behalf of SRZ's client, PEB Financial Group, Inc., during an arbitration proceeding before the National Association of Securities Dealers (NASD). The client, a boutique broker dealer selling 403(b) products to educational institutions and nonprofit organizations, enjoyed a non-compete agreement with a registered representative who nonetheless “transferred his licenses” to another financial group and who “proceeded to transfer client accounts and assets.”

Such activity, SRZ argued, is unlawful, alleging on PEB's behalf breach of fiduciary duty, breach of contract, conversion of property, unfair competition and violation of the Illinois Trade Secrets Act.

“We successfully established our case with the independent contractor, who elected to settle with our client,” says Mike Roche, who heads our Business Litigation practice group. “To continue to protect our client's interests, we then pursued the financial group that profited from the actions of this individual.”

“Not surprisingly,” says Ernie Irons, a securities and commodities litigator for 30 years, “the company claimed no responsibility, arguing that its particular relationship with independent contractors acting as broker dealers precluded it from any responsibility to our client.”

Ultimately, NASD disagreed, finding on behalf of PEB and determining, as reported in SAC, “Independent broker dealers may still be liable for damages when an independent contractor registered representative moves clients and assets from another firm.” During the proceedings SRZ conceded that no respondent enjoyed respondeat superior liability; even so, NASD awarded PEB $175,000, based in part and according to SAC, “on one or more alternative theories of tortious interference with contract, unfair competition and/or violation of the Illinois Trade Secrets Act.

12-28-2006

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Schuyler, Roche & Crisham, P.C.

Cole Elected to Defense Research Institute's National Board
Charles Cole has scaled yet another height at the Defense Research Institute (DRI), which just elected him to a three-year term on its National Board of Directors. He began his newest role within this organization of more than 22,000 trial attorneys and corporate counsel in October 2006. As a board member he will also serve as director for the North Central Region, which comprises Illinois, Indiana, Minnesota, Wisconsin, and North and South Dakota.

Recently DRI featured Chuck in the “Leader Spotlight” column of the November 1st issue of The Voice, the news source for members of this prestigious organization. Each month DRI profiles a litigation attorney who demonstrates outstanding leadership qualities. Chuck proved a fitting choice considering the 20 years he has devoted to the advancement of his profession through continuing education for himself and his peers.

No stranger to DRI, Chuck first held elective office beginning in 2002, as Illinois State Representative. He assumed this three-year term following ten years of leadership in the Illinois Association of Defense Trial Counsel (IDC). In 2004, DRI’s leadership appointed Chuck to its Permanent Steering Committee, which oversees DRI’s annual meeting, where, each year, more than 1,000 defense professionals exchange ideas and chart the future of the organization. Also in 2004, DRI appointed Chuck to its Strategic Planning Committee, on which he still serves.

Of the recent election, Chuck says, “I am humbled. I thank my esteemed colleagues for the faith they have placed in me, and I vow to work tirelessly on their behalf.” On the importance of DRI, Chuck observes, “DRI has done much for me throughout my career. I feel compelled to repay it in kind. Education is its crux—the reason I remain so committed. Whether we are educating legislators, the judiciary or ourselves, we stand poised to influence public policy in positive and meaningful ways.”

In his new role at DRI and as a veteran participant in the civil justice system, Chuck considers expanding globalization the key challenge ahead. “As litigation transcends borders and cultures, our membership is increasingly attentive to the impact of globalization. I hope to act as a facilitator in this critical arena.

12-28-2006

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Lommen, Nelson, Cole & Stageberg, P.A.

Toys for Tots Campaign a Success
The 2006 Toys for Tots campaign was a big success! One hundred and fourteen toys and $400 in cash were collected, and Jenny Olson dropped the donations off at KARE-11 on Thursday, December 20th.

12-27-2006

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Lommen, Nelson, Cole & Stageberg, P.A.

Lommen Abdo Client Wins Lifetime Achievement Award Grammy Award
Booker T. Jones, a client of Lommen Abdo, was named a 2007 Lifetime Achievement GRAMMY Award recipient for his work with the seminal instrumental group Booker T. & The MG's. Also receiving the award with the pioneering keyboardist are guitarist Steve Cropper, bassist Donald "Duck" Dunn, drummer Al Jackson (posthumously), and Lewie Steinberg, the group's original bassist.

12-27-2006

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Kelley, Drye & Warren, LLP

Eric McClafferty Appointed to Commerce Advisory Committee
In recognition of his expertise on export controls, Partner Eric McClafferty was appointed to the Materials Technical Advisory Committee by the Secretary of Commerce, Carlos M. Gutierrez. As a committee member, Mr. McClafferty will advise the Department of Commerce regarding export controls on chemicals, biotechnology items, metals, exotic materials, and materials processing equipment.

12-27-2006

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Fox Rothschild LLP

Navigating Between Scylla and Charybdis of the Patent World
Co-authored, "Navigating Between Scylla and Charybdis of the Patent World," New Jersey Law Journal,

12-27-2006

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Gonzalez Saggio & Harlan LLP

Gonzalez Saggio & Harlan LLP Gains National Recognition
In recognition of the economic power of multicultural businesses, DiversityBusiness.com, recently named Gonzalez Saggio & Harlan LLP as one of the “Top Diversity-Owned Businesses in Wisconsin (Div50)”. The law firm ranked ninth in the state.

12-27-2006

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