Dulhanty v. Conner, No. A17-0172 (Minn. Ct. App. 2017)
Successfully obtained the dismissal of lawsuit against two former executives of broker-dealer alleging breach of fiduciary duty and related claims in connection with sale of company assets. Following dismissal, successfully defended against plaintiff’s appeal of trial court’s dismissal of claims.
Nelson v. Anderson Veterinary Service, P.A., No. 25-cv-18-425 (Minn. Dist. Ct.)
Represented client seeking buy-out in dispute with former business partners. Successfully obtained buy-out of shares, as well as dismissal of counterclaims alleging breach of fiduciary duty and tortious interference with customer relationships.
Bismarck Financial Group, LLC, et al. v. Caldwell, 950 N.W.2d 155 (N.D. 2020)
Successfully obtained dismissal of all claims against financial advisor by advisor’s former business and business partners seeking to hold financial advisor personally liable for a portion of the business’s expenses. Following dismissal, successfully defended against appeal of dismissal to the North Dakota Supreme Court. Upon remand to trial court, plaintiffs voluntarily dismissed lawsuit rather than attempt to replead allegations.
Browning v. Van Brunt Dubiago & Co., LLC, No. SC 20010 (Conn. 2018)
Successfully obtained dismissal of lawsuit against broker-dealer and registered representative alleging claims related to supervision of accounts and investment strategy. Following dismissal, successfully defended against appeal to the Connecticut Supreme Court.
Mattinen v. Kari, LLC, No. A19-1976 (Minn. Ct. App. 2020)
Successfully defended appeal of dismissal of lawsuit alleging claims for statutory and common‑law fraud in connection with the sale of home.
Landow v. Bartlett, No. 2:18-cv-499 (D. Nev.)
Successfully obtained dismissal of lawsuit against broker-dealer alleging claims for securities fraud, breach of fiduciary duty, negligence, and breach of contract.
Double Black Diamond v. City of Minneapolis, No. 27-cv-13-21030 (Minn. Dist. Ct.)
Secured a temporary restraining order enjoining the City of Minneapolis from enforcing parking restrictions designed to limit the number of spaces available for patrons to the client’s restaurant.
Sheets v. Berthel Fisher & Co. Fin. Services, Inc., FINRA Arbitration No. 1600944
Represented broker-dealer and registered representative in arbitration alleging claims for breach of fiduciary duty, fraud, breach of contract, and failure to supervise. After two days of testimony, Claimant voluntarily withdrew claims with prejudice.
J & M Dist., Inc. v. Hearth & Home Techs., Inc., No. 13-cv-72 (D. Minn.)
Obtained a unanimous jury verdict in favor of client on claims for civil conspiracy, tortious interference, and alleged violation of the Sherman Antitrust Act. Prior to trial, successfully obtained summary dismissal of claims for unfair competition and alleged violations of the Robinson-Patman Act.
Nord v. Bauer; FINRA Arbitration No. 13-01997
Obtained a pre-hearing dismissal of claims against registered representative and broker-dealer alleging the registered representative had solicited them to purchase promissory notes and equity interests to finance real-estate developments and a local nightclub.
Berthel Fisher & Company Financial Services, Inc. v. Frandino, No. CV-1202165 (D. Ariz.)
Obtained a preliminary injunction enjoining claimant from continuing to pursue FINRA arbitration against client.
Tucker v. Berthel Fisher & Company Financial Services, Inc., FINRA Arbitration No. 11-04331
Obtained a complete dismissal of arbitration alleging violations of securities laws, breaches of fiduciary duty, and unlawful recommendation of privately placed securities.
Govern v. Berthel Fisher & Company Financial Services, Inc., FINRA Arbitration No. 10-03899
Obtained a complete dismissal of arbitration alleging violations of securities laws, breaches of fiduciary duty, and unlawful recommendation of privately placed securities.
U.S. Bank, N.A. v. MP Operating, LLC, No. 73-cv-10-7965 (Minn. Dist. Ct.)
Obtained summary judgment dismissing claims alleging clients were liable on full-recourse personal guaranties in favor of lender.
Tate v. Restaurant Tech., Inc., No. 09-cv-02076 (MJD/JJG) (D. Minn.)
Obtained a $12.5 million settlement for plaintiffs in class-action lawsuit alleging breaches of fiduciary duty and tortious conduct in connection with a recapitalization merger.
Kroll v. Kroll, No. 27-cv-09-3538 (Minn. Dist. Ct.)
In a dispute over ownership of a family company, obtained preliminary injunction enjoining squeeze-out merger designed to force client out of the company. Later settled the matter for an undisclosed amount greatly exceeding what client would have received from merger.
BMO Capital Markets v. Avalon Capital Group, No. 09-L-3529 (Ill. Dist. Ct.)
Obtained dismissal of client from lawsuit alleging fraud and fraudulent concealment in connection with a $150 million securitization transaction.
