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Joe is an experienced, well-respected litigator whose practice is focused primarily on securities class actions, complex litigation, regulatory disputes, internal corporate and government investigations, and general corporate litigation. According to Chambers USA 2015, Joe is a “highly regarded securities litigator,” who is “well versed in a range of complex disputes” and “highlighted for his impressive client roster and expertise in cross-border work.” Previous editions have reported that Joe wins respect for a “business-oriented mentality” that helps to ease the passage of SEC investigations and securities-related disputes. . . . “he not only knows the law, he understands its impact." He has served as the Office Practice Leader for Litigation in Mayer Brown’s New York office and the Head of the Hiring Committee in New York.

As co-leader of Mayer Brown’s global Securities Litigation and Enforcement Action Group, Joe represents corporate and individual clients across a broad spectrum of civil and criminal matters, including providing strategic and litigation advice to boards of directors of the Firm’s clients. These matters include:

Securities Litigation. Represents issuers, underwriters, and individual officers and directors in various federal securities class actions and derivative actions; counsels clients and boards of directors in connection with securities law issues.

SEC and AG Enforcement. Represents corporations and individuals in investigatory proceedings and civil enforcement actions brought by the SEC and state attorneys general.

Internal Corporate Investigations. Conducts and participates in internal corporate investigations on behalf of client management groups, audit committees, or special litigation committees in industry sectors such as banking, retail, Internet, technology, and broadcasting and communications.

Sarbanes-Oxley Compliance. Counsels companies and their officers and directors on Sarbanes-Oxley litigation and compliance issues.

Arbitrations. Arbitrates complex civil disputes in various arbitral venues, including the American Arbitration Association and ICC.

General Civil Litigation. Represents corporate and individual clients in federal and state courts in a variety of civil actions, including commercial actions, contract disputes, breaches of fiduciary duty, employment, intellectual property, and mergers and acquisitions litigation.

Pro Bono. Has successfully represented indigent clients in political asylum applications, a habeas corpus petition, death penalty litigation, and a special skills visa application; in 1998, received the Thurgood Marshall Award from the Association of the Bar of the City of New York for death penalty litigation; in 2004, received the Legal Aid Society’s Pro Bono Publico Award for outstanding work on a successful habeas corpus petition.

Between 1998 and 1999, Joseph sustained an active teaching role as Supervising Attorney for the Columbia Law School’s Political Asylum Clinic. He lectured Columbia law students in seminars and supervised a student subgroup during the course of a successful political asylum application in US Immigration Court.

Prior to joining Mayer Brown in 2000, Joseph worked for another prominent law firm. Earlier, he served as Law Clerk to the Honorable Joseph McLaughlin, US Court of Appeals for the Second Circuit (1994–1995).

Langues

  • Anglais
Points clés
Securities Investigations: Internal, Civil and Criminal

Expérience

Securities Litigation Experience

  • Successfully represents issuers, underwriters and individual directors and officers in federal securities fraud class actions and shareholder derivative litigation.
  • Provides advice to clients’ boards of directors on pending securities litigation matters, litigation and special committees, and strategic issues.
  • Represented Peter Aceto, the ex-CEO of CannTrust, a Cannabis company, in a securities class action in the United States District Court for the Southern District of New York and a related securities action in California. Shareholder plaintiffs allege violations of Section 10(b) and 20(a) in connection with alleged material misstatements and omissions in CannTrust’s SEC disclosure documents and the Company’s public statements. There were parallel securities actions and investigations in Canada. Case settled in 2021 after a complex mediation process.
  • Represented senior executives of Duoyuan Global Water (DGW) and Duoyuan Printing (DYP) in federal securities class actions in the SDNY in connection with these China-based companies’ IPO’s and secondary offerings in the United States. Motions to dismiss were granted in part and the cases settled shortly thereafter.
  • Represented the ex-CFO of one of the world’s largest insurance company’s in a federal securities class action, related derivative action and subsequent opt-out litigations in the United States District Court for the Southern District of New York. The matters settled after substantial discovery and a successful mediation.
  • Won dismissal of all claims against three independent directors of the board of a prominent Wall Street financial institution in a shareholder derivative action in Delaware Chancery Court on summary judgment (2021).
  • Won dismissal of all claims against Noble Energy and its officers and directors on a motion to dismiss the complaint in a shareholder class action (2021).
  • Represents Zillow Group and certain of its officers and directors in a federal securities action and related derivative actions; cases are in fact and expert discovery currently.
  • Represents Frontier Communications and certain of its officers and directors in a putative federal securities class action and parallel derivative cases. Won motion to dismiss the federal securities class action complaint in the United States District Court for the District of Connecticut (2020).
  • Represented RMG Networks and certain of its officers and directors in a shareholder class action in Delaware Chancery Court.
  • Represented Altisource Residential Corporation and certain of its officers and directors in a federal securities class action and related litigation. Obtained a favorable settlement for all defendants.
  • Represented eight issuer defendants and their respective directors and officers in one of the largest securities class actions ever, the IPO Allocation Actions in the United States District Court for the Southern District of New York; served as member of the Issuers’ Counsel Committee (case settled).
  • Represented the ex-CEO of Collins & Aikman in the Collins & Aikman Securities Litigation in Michigan and Delaware; won motion to dismiss our client in the Delaware Action (2009).
  • Won motion to dismiss with prejudice for all defendants in In re eSpeed, Inc. Sec. Litig., 457 F.Supp.2d 266 (S.D.N.Y. 2006); represented all defendants, including the corporate defendants and individual director and officer defendants.
  • Won a motion to dismiss with prejudice for all defendants in a Rule 10b-5 action in Abbad v. Amman, 285 F. Supp. 2d 411 (S.D.N.Y.); the decision was affirmed on appeal in Abbad v. Amman, No. 03-9169, 2004 U.S. App. LEXIS 21033 (2d Cir.).
  • Won a motion to dismiss with prejudice in a Rule 10b-5 litigation in favor of a large corporate shareholder of e.spire Communications, Inc. and certain of e.spire’s officers and directors in In re e.spire Communications Sec. Litig., 127 F. Supp. 2d 734 (D. Md.); this important victory for corporate defendants was highlighted as a “noteworthy decision” on page one of the Securities Reform Act Litigation Reporter, Vol. 10, No. 6 (Mar. 21, 2001).
  • Won a motion to dismiss in an action under the federal securities laws in favor of an issuer defendant and its officers and directors in Fant v. Perelman, 97 CV 8435, 1999 WL 199078 (S.D.N.Y. Apr. 9, 1999).
  • Won summary judgment in favor of the issuer defendant in Mott v. Sterling Foster & Co., slip op., No. 97 1082 (D.S.C. Oct. 16, 1997).
  • Represented CIBC World Markets Inc. as a defendant-underwriter in the NewPower Holdings Securities Litigation.
  • Represented Procom, Inc. and its officers and directors in a Rule 10b-5 action and obtained a favorable settlement for defendants.
  • Represented Core Laboratories, N.V. and its officers and directors in a Rule 10b-5 action and won a motion to transfer the proceedings to Texas.
  • Represented officers of issuers in the investigation by the Attorney General of the State of New York into the allegedly improper securities practices of certain investment banks.
  • Represented the CEO of a company in an SEC deposition and investigation in connection with insider trading allegations.

Notable Trial Experience

  • Represented corporate financial institution creditor plaintiff in a series of enforcement actions to recover its damages resulting from the failed securitization of a $250 million loan portfolio; Worked with plaintiff to devise a global strategy for the identification of assets, litigation and collection of damages; Filed and litigated actions (trial and appellate proceedings) against debtors in multiple states, including New York, Georgia, Florida, California and Texas; Plaintiff recovered approximately $40 million.
  • Represented a financial institution client as a Claimant in an arbitration proceeding relating to an alleged breach of contract in connection with an energy development project; Case eventually settled on favorable terms for our Client.
  • Lead attorney on behalf of families of deceased victims of the 9/11 terrorist attacks in a series of 20 short trials before Special Master Kenneth Feinberg of the September 11th Victim Compensation Fund; conducted the trial testimony of over 70 live witnesses, and recovered $65.5 million for clients.
  • Successfully represented a large financial institution in a three-month trial in Delaware Chancery Court; cross examined opposing party’s chief financial officer.
  • Successfully represented a foreign company in a 30-day arbitration before the American Arbitration Association; cross examined opposing party’s expert.
  • Lead attorney in two successful trials in US Immigration Court.
  • Obtained a defense verdict of no liability as lead attorney in a trial on behalf of an individual in New York state court.

Notable Appellate Experience

  • Argued and won an appeal on behalf of our clients Energy Coal, S.p.A and Italiana Coke, S.p.A. in the Supreme Court of the State of Delaware entitled Energy Coal, S.p.A, et al. v. Minna, et al. (Del. Supr.); the Court affirmed in all respects the $10.9 million judgment that we obtained in the trial court before then-Vice Chancellor Strine and the decision was featured in Law360.
  • Argued and won appeal on behalf of an individual before the United States Court of Appeals for the Second Circuit in Benjamin v. Fischer, 2004 WL 206215 (2d Cir. Feb. 2, 2004).
  • Argued appeal on behalf of an individual defendant before the Supreme Court of the State of New York, Appellate Division, First Department, in Fieldstone v. Chapman, 284 A.D.2d 195, 726 N.Y.S.2d 261 (1st Dep’t 2001).
  • Argued appeal on behalf of an individual defendant before the Supreme Court of the State of New York, Appellate Division, First Department, in People v. Benjamin, 272 A.D.2d 276, 709 N.Y.S.2d 517 (1st Dep’t 2000).
  • Drafted appellate briefs for the prevailing parties in Abbad v. Amman, No. 03-9169, 2004 US App. LEXIS 21033 (2d Cir. Oct. 8, 2004) and Simula, Inc. v. Autoliv, Inc., 175 F.3d 716 (9th Cir. 1999).

Securities Law Experience

  • Successfully represented issuers, underwriters and individuals in numerous securities fraud class actions.
  • Addressed several clients’ boards of directors advising on pending securities litigations.
  • Represented eight issuer defendants and their respective directors and officers in one of the largest securities class actions ever, the IPO Allocation Actions; served as member of the Issuers’ Counsel Committee (case settled in 2009).
  • Represented the ex-CEO of Collins & Aikman in the Collins & Aikman Securities Litigation in Michigan and Delaware; won motion to dismiss our client in the Delaware Action (2009).
  • Won motion to dismiss with prejudice for all defendants in In re eSpeed, Inc. Sec. Litig., 457 F.Supp.2d 266 (S.D.N.Y. 2006); represented all defendents, including Cantor Fitzgerald, L.P., eSpeed, Inc. and CEO of the company.
  • Won a motion to dismiss with prejudice for all defendants in a Rule 10b-5 action in Abbad v. Amman, 285 F. Supp. 2d 411 (S.D.N.Y. 2003); the decision was affirmed on appeal in Abbad v. Amman, No. 03-9169, 2004 U.S. App. LEXIS 21033 (2d Cir. Oct. 8, 2004).
  • Won a motion to dismiss with prejudice in a Rule 10b-5 litigation in favor of a large corporate shareholder of e.spire Communications, Inc. and certain of e.spire’s officers and directors in In re e.spire Communications Sec. Litig., 127 F. Supp. 2d 734 (D. Md. 2001); this important victory for corporate defendants was highlighted as a “noteworthy decision” on page one of the Securities Reform Act Litigation Reporter, Vol. 10, No. 6 (Mar. 21, 2001).
  • Won a motion to dismiss in an action under the federal securities laws in favor of an issuer defendant and its officers and directors in Fant v. Perelman, 97 CV 8435, 1999 WL 199078 (S.D.N.Y. Apr. 9, 1999).
  • Won summary judgment in favor of the issuer defendant in Mott v. Sterling Foster & Co., slip op., No. 97 1082 (D.S.C. Oct. 16, 1997).
  • Represented CIBC World Markets Inc. as a defendant-underwriter in the NewPower Holdings Securities Litigation.
  • Represented Procom, Inc. and its officers and directors in a Rule 10b-5 action and obtained a favorable settlement for defendants.
  • Represented Core Laboratories, N.V. and its officers and directors in a Rule 10b-5 action and won a motion to transfer the proceedings to Texas.
  • Represented officers of issuers in the investigation by the Attorney General of the State of New York into the allegedly improper securities practices of certain investment banks.
  • Represented the CEO of a company in an SEC deposition and investigation in connection with insider trading allegations.

Formation

Université de Fordham, JD
Dean's List
Associate Editor, Fordham Law Review

Princeton University, AB

Inscription au Barreau

Barreau

  • New York

Tribunal

  • US Court of Appeals for the Second Circuit
  • US District Court for the Southern District of New York
  • US District Court for the Eastern District of New York
  • US Supreme Court