Having represented thousands of U.S.-based and international financial advisors, Michael is a member of a team of Shumaker, Loop & Kendrick, LLP lawyers who represent large financial institutions and high net-worth individuals in securities litigation and violations of contractual covenants. Known as both a tenacious litigator and a true partner, Michael works to resolve issues before they happen, helping clients make good deals when possible, and avoiding the pitfalls of litigation in matters including:
- Securities law
- Restrictive covenants
- Trade secrets
- Corporate change in control issues
- Data breach
- Commercial litigation and arbitration
Clients also draw on Michael’s significant experience with regard to brokerage industry transitions, promissory notes, and deferred compensation disputes, including litigation involving vesting of Merrill Lynch's Financial Advisor Capital Accumulation Award Plans (FACAAP), Growth Award, Wealthbuilder and Long-Term Incentive Compensation Plan for Managers and Producers (LTICP) plans. He negotiates financial advisor contracts with many of the top firms and has successfully represented financial advisors in numerous regulatory matters before the Financial Industry Regulatory Authority (FINRA). Michael also has experience with Form U-4 and U-5 issues, defending against garden leave provisions across the country and establishing independent Registered Investment Advisor (RIA) offices.
Furthermore, Michael advises and counsels his clients regarding strategic decisions and applies his skills as a litigator by coordinating and performing detailed and high-leveled negotiations, discovery, depositions, witness preparation, arbitration procedures, and as necessary, conducting litigation at the state and federal court level and arbitration before FINRA.
Class Counsel In:
- Davis and Garcia vs. Merrill Lynch – July 2015
- Wakefield vs. Wells Fargo – September 2013
- Jones vs. Wells Fargo Advisors – June 2013