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| Phone: (203) 351-8034 |
Fax: (203) 327-2669 |
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| James Moriarty is an associate in the firm’s Stamford office. His practice focuses on commercial litigation and securities arbitration. |
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Representative Experience:
ADP Clearing and Outsourcing Services, Inc. v. Commerce Capital Markets, Inc., NASD Case No. 04-06606.
Represented clearing firm as claimant in arbitration against broker dealer alleging, among other things, breach of contract. Full compensatory damages award entered in claimant's favor, along with interest and an attorneys' fee award in excess of $425,000.
Represented publicly traded telecommunications provider in connection with Connecticut state court lawsuit commenced by insurance broker who claimed he was owed substantial compensation for services rendered in connection with various employee welfare plans. Case settled favorably prior to trial.
Represented New York Stock Exchange Specialist firm in FINRA arbitrations against Exchange floor brokers seeking to recover commissions for order execution services provided by the specialist firm.
Urich v. Robert and Richard Lewin, NASD Case No. 06-03481.
Represented FINRA registered representatives in FINRA arbitration commenced by customer alleging, among other things, suitability, fraud and violations of the federal securities laws. Panel dismissed all claims after hearings.
Represented major service provider to life insurance industry in Massachusetts state court action by venture capital firm alleging fraud. Case settled favorably on the eve of trial.
Represented material witnesses in connection with third-party discovery in litigation brought against former New York Stock Exchange Chairman Richard Grasso by New York Attorney General Elliot Spitzer.
Howard v. Murphy & Durieu, et al., NASD Case No. 03-02970.
Lead counsel for Respondent in NASD arbitration alleging unauthorized trading. All claims against client and its former registered representative were dismissed by the arbitrator after hearings.
Lead counsel for Respondent in NASD arbitration alleging churning and unauthorized trading.
Represented public company in connection with a Securities and Exchange Commission informal inquiry. No further action taken against client.
Member of litigation team representing Johnson & Johnson in Connecticut state court action seeking damages for purported latex allergies. Case settled favorably after the filing of a summary judgment motion.
Member of litigation team representing JPMorgan Chase in connection with lawsuits arising out of the Enron bankruptcy, with primary focus on accounting related issues. |
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Client Advisories:
"New York's Highest Court Clarifies U-5 Immunity," April 04, 2007.
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Bar Admissions:
Connecticut, 1999
New York, 2000
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| Education:
Pace University School of Law, J.D., magna cum laude, 1999
Marist College, B.A., summa cum laude, 1996
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Office Location:
400 Atlantic Street
Stamford, CT 06901
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