Mark continues his practice of general commercial litigation. Mark has special expertise in representing financial institutions and securities broker-dealers in securities arbitrations and regulatory investigations. Mark also regularly represents financial institutions in consumer credit litigation, including actions filed under the Fair Credit Reporting Act (“FCRA”) and the Equal Credit Opportunity Act (“ECOA”). Mark represents businesses and individuals before a variety of state agencies, commissions and bureaus, including the Bureau of Insurance and the Division of Securities at the State Corporation Commission, as well as licensees before the Department of Alcoholic Beverage Control. Mark also gets called upon by cities, towns and other localities to assist them in a variety of lawsuits, frequently involving thorny zoning and other real estate related matters. In addition to all that, he has:
- Represented a defense-related textile manufacturer in injunctive action to recover over $2 million of misappropriated manufacturing equipment;
- Successfully defended a Virginia electrical cooperative against claims by homeowners of fire damage to residence by alleged electrical surges;
- Recovered substantial damages and attorneys fees for a Virginia beer and wine wholesaler in a Virginia ABC matter alleging wrongful termination of franchise agreement and bad faith by a foreign brewery;
- For a Virginia beer wholesaler, obtained a reversal on appeal of a decision by the Virginia ABC Board to terminate an existing beer franchise agreement;
- Represented a large international hedge fund in a proxy dispute over representation on the board of directors of Fortune 100 company;
- Represented a large national real estate development company in $1 million architect malpractice dispute;
- Won summary judgment on multiple claims by a commercial property developer;
- Represented insurance brokerages in state investigations by the Bureau of Insurance; and
- Successfully represented a property and casualty insurer in large subrogation action against an electrical subcontractor which caused fire and property damage to a large downtown office building;
- Successfully defended an investment advisory firm in retail securities arbitration alleging breach of fiduciary duty, unsuitability, negligence, violation of federal and state statutes, common law fraud, negligent supervision, breach of contract and violation of industry rules in connection with inverse ETF’s in discretionary investment advisory accounts and seeking compensatory damages in the amount of $2,000,000;
- Successfully defended a major broker-dealer in an action commenced by a former customer seeking in excess of $500,000 for alleged unsuitability, churning, unauthorized trading and violations of various NASD and NYSE Rules and Regulations and fraud;
- Successfully defended a broker-dealer and multiple financial advisors in arbitration seeking $750,000 for alleged intentional misrepresentations and unauthorized trading in several linked family accounts;
- Prosecuted numerous promissory note cases on behalf of broker-dealers against former financial advisors who departed for other firms, recovering nearly $1,000,000 in awards.
- Successfully defended a regional broker-dealer in retail securities arbitration alleging breach of fiduciary duty, unsuitability, negligence, violation of federal and state statutes, common law fraud, negligent supervision, breach of contract and violation of FINRA rules in connection with Rule 1035 exchanges of multiple annuities for retired customers;
- Obtained FINRA “no action” letters for multiple financial advisors accused of various sales practice violations; and
- Represented financial advisors in regard to state regulatory investigations into sales of annuities. Investigations closed with no further action.
Mark is licensed in Virginia and Kentucky.
Washington & Lee University; B.A., 1983
Washington & Lee University School of Law; J.D., 1986
Organizations, Honors, Publications and Speeches
Richmond Bar Association
Virginia Bar Association
Virginia State Bar Administrative Law Section; Board of Governors
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