Thomas B. Lewis

Tom concentrates his practice in employment advisory and trial litigation, arbitration, mediation and employment counseling. He is a Board-certified Civil Trial Attorney by the New Jersey Supreme Court Board on Attorney Certification.

Tom represents financial services and other companies and their executives in employment disputes and litigation, including restrictive covenant issues, non-compete agreements, claims of harassment, workplace discrimination, wrongful discharge, raiding and recruiting issues, employment agreements and severance agreements. He has litigated and arbitrated cases in numerous states and jurisdictions, and regularly appears in state and federal courts and before FINRA, the EEOC and various state civil rights agencies. He also litigates restrictive covenant issues on behalf of individuals, medical practitioners, small to mid-sized companies and Fortune 500 companies. His clients are located throughout the United States.

Because of his extensive experience in employment litigation, Tom has been an invited media commentator for CBS, NBC, ABC, Fox News, WOR, UPN News, CNBC, Bloomberg Television, Bloomberg News, Reuters, The Wall Street Journal, On Wall Street, Dow Jones, REP. magazine (formerly Registered Representative), The Associated Press, The New Jersey Law Journal, New Jersey Lawyer, The National Law Journal and various other mass media business forums. Additionally, he has published many articles covering a broad range of employment issues. Several of Tom’s cases have resulted in published opinions by federal and state courts and the New Jersey Supreme Court.

Tom frequently conducts seminars for corporate clients, management organizations and bar associations, and has lectured and presented seminars on behalf of the New Jersey Institute for Continuing Legal Education, including “Current Issues Involving Non-Compete Agreements,” “Protection of Trade Secrets” and the “Duty of Loyalty.”

Press Placements

• “Ameriprise Accuses LPL of Encouraging Recruits to Take Confidential Client Info,” AdvisorHub, July 30, 2024
• “AllianceBernstein Wins Injunction, $334K in Non-Solicit Case Against UBS Team,” AdvisorHub, April 23, 2024
• “Morgan Stanley Seeks to Handcuff Junior Broker in Arizona With TRO,” AdvisorHub, March 26, 2024
• “Goldman Marks Up Dozens of Ex-PFM Brokers’ Records With Garden Leave Violations,” AdvisorHub, December 4, 2023
• “J.P. Morgan Tweaks Offers, Preserves First Republic Brokers’ Rights When Jumping Firms,” AdvisorHub, June 8, 2023
• “Morgan Stanley Cites Napping Arbitrator in Bid to Toss $1.6-Mln Age-Bias Award,” AdvisorHub, April 17, 2023
• “Stifel Brings Raiding Claim Against Indiana RIA Co-Led by Former Veep’s Brother,” AdvisorHub, March 2, 2023
• “TR-‘Oh No’: Bank Ordered to Pick up Wells Fargo’s Legal Tab in Non-solicit Fight,” AdvisorHub, January 31, 2023
• “Morgan Stanley Recruiting Draws Assets—And Legal Battles,” AdvisorHub, January 19, 2023
• “Plaintiff Lawyers Welcome Finra’s Proposal but Want More Arbitration Transparency,” AdvisorHub, January 11, 2023
• “FTC Proposes Banning Noncompete Agreements. What It Means for Advisors,” Barron’s, January 6, 2023
• “UBS and $8-Mln Team That Decamped to RBC Settle Court Battle,” AdvisorHub, December 22, 2022
• “UBS Seeks to Handcuff $8-Mln RBC Team in Indiana,” AdvisorHub, November 8, 2022
• “U5 Negotiations Carry Extra Weight As More Firms Shun Fired Brokers,” AdvisorHub, August 29, 2022.
• “Ex-Morgan Stanley Broker Seeks to Overturn $28K Award,” AdvisorHub, August 15, 2022.
• “Next-Gen Successors: You’re Not as Stuck as You Think You Are,” WealthManagement, May 5, 2022.
• “J.P. Morgan Files Restraining Order Against $140M Louisiana Advisor,” Financial Advisor, April 19, 2022.
• “UBS, 2 Advisors Agree to Temporary Client Solicitation Ban in Ongoing Legal Battle,” Barron’s, April 4, 2022.
• “Financial Advisor Notches Supreme Court Win. It Changes Who May Decide Arbitration Appeals.” Barron’s, April 4, 2022.
• “$4.1-Mln Wells Fargo Duo Sued by UBS Agrees to Client Solicitation Ban,” AdvisorHub, April 1, 2022.
• “JPMorgan Loses Another TRO Lawsuit Against a Departing Advisor,” Barron’s, March 8, 2022.
• “JPMorgan Fails in TRO Bid Against Wells Fargo Broker,” AdvisorHub, March 7, 2022.
• “JPMorgan Suffers Rare Setback in Nonsolicit Spat With Advisor Who Left to Join an RIA,” Barron’s, January 25, 2022.
• “Reports of Broker Protocol Death Exaggerated, but Not Greatly,” AdvisorHub, December 8, 2021.
• “J.P. Morgan Fires Back Against Poaching Claim from One of Its Top Brokers,” AdvisorHub, December 6, 2021.
• “Citi Goes to Court to Defend Its Flanks as Big Teams Hit the Exits,” AdvisorHUB, November 16, 2021.
• “RIA Fighting SEC Disclosure Case as Other Firms Settle En Masse,” Financial Planning, September 28, 2021.
• “Lawyers Just Say ‘No’ to Zoom for FINRA Arbitration Hearings,” AdvisorHUB, August 31, 2021.
• “JPMorgan Is Stepping Up Its Fight to Hold Onto Private Bankers With an Unusual Move — Going After a Firm an Ex-Employee Founded,” BusinessInsider, August 24, 2021.
• “‘They’re Always Watching.’ Advisors’ Digital Footprints Are Derailing Career Moves,” Barron’s, August 10, 2021.
• “Inside Merrill Lynch’s Fight With Advisors to Keep 44 Clients,” Barron’s, July 21, 2021.
• “Morgan Stanley Tightens Order Entry Process Amid Firings Over Miscoded Trades,” AdvisorHUB, June 21, 2021.
• “UBS Agrees to Drop TRO Bid Against New Jersey Broker Who Joined RBC,” AdvisorHUB, June 7, 2021.
• “J.P. Morgan’s Legal Spat With 5 Advisors Spotlights Tricky Nature of Job Moves,” Barron’s, May 11, 2021.
• “UBS’s Appeal to Vacate $11 Million FINRA Award Faces Uphill Battle: Lawyers,” AdvisorHUB, May 7, 2021.
• “Five Ways to Avoid Being Terminated in a Hypervigilant Compliance World,” WealthManagement, April 6, 2021.
• “Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance,” AdvisorHUB, March 12, 2021.
• “Transitions, Retire-in-Place Programs and Termination: A Top Attorney’s Perspective,” Diamond on Independence Podcast, March 11, 2021.
• “Merrill’s Retire-in-Place Contracts Leave Senior Advisors in Golden Handcuffs,” Wealth Management, February 8, 2021.
• “J.P. Morgan Seeks to Handcuff Broker Who Joined Merrill Lynch,” AdvisorHUB, February 4, 2021.
• “The Worst-Case Scenario,” Financial Planning, February 2, 2021.
• “Fidelity Sues Atlanta Broker Who Joined Merrill Lynch,” AdvisorHUB, July 27, 2020.
• “Edward Jones Broker Who Jumped to LPL Financial Agrees to Solicitation Ban,” AdvisorHUB, May 12, 2020.
• “FINRA Bars 43-Year Broker Accused of Taking Stifel Client’s Money,” AdvisorHUB, March 30, 2020.
• “Coronavirus: FINRA Extends Ban on In-Person Arbitration Past Memorial Day,” On Wall Street, March 25, 2020.
• “Recruiting Moves Grind to a Halt, Office Visits Canceled as Virus Spreads,” On Wall Street, March 19, 2020.
• “FINRA Postpones Arbitration Hearings as Pandemic Disrupts Wealth Management,” On Wall Street, March 17, 2020.
• “FINRA Postpones In-Person Arbitration Hearings Until May 1,” AdvisorHUB, March 16, 2020.
• “Fidelity Enjoins Morgan Stanley, Florida Broker in Non-Solicit Case,” AdvisorHUB, January 2, 2020.
• “Ex-Wells Broker Fails to Overturn $475,000 Arbitration Loss,” AdvisorHUB, December 27, 2019.
• “Finra Arbitration Panel Squashes TRO Against Ex-Jones Broker,” AdvisorHUB, December 6, 2019.
• “Finra Panel Rebukes Frivolous Customer Claim Against RayJay Broker,” AdvisorHUB, November 26, 2019.
• “Indiana Judge’s Denial of ‘Retaliatory’ Edward Jones Filing Makes Waves,” AdvisorHUB, November 18, 2019.
• “JPMorgan Seeks TRO Against Bank Broker Who Joined RayJay,” AdvisorHUB, October 10, 2019.
• “Judge Dissolves TRO Against Morgan Stanley Broker Who Joined UBS,” AdvisorHUB, August 1, 2019.
• “Big Morgan Stanley Punishment Leaves Lawyers Wondering What’s Next,” Financial Advisors IQ, July 22, 2019.
• “Judge Bars Broker from Soliciting Former Morgan Stanley Clients,” AdvisorHUB, July 11, 2019.
• “Judge Grants Morgan Stanley’s TRO Request for Ex-Broker Who Went to UBS,” Financial Advisor IQ, July 11, 2019.
• “Morgan Stanley’s ‘Shoehorning’ of a Client into Finra Arbitration is Flawed, Lawyer Claims,” Financial Advisor IQ, May 30, 2019.
• “Morgan Stanley Pins Hopes on Changing Judge’s Mind in Texas Defection Fight,” Financial Advisor IQ, April 17, 2019.
• “Morgan Claims $280M Advisors Violated Non-solicit. Judge Doesn’t Buy It,” On Wall Street, March 28, 2019.
• “Charles Schwab and UBS Caught in Dark Pool Class Action,” Financial Advisor IQ, March 14, 2019.
• “Barred Broker Cases Pose Questions Ahead of Next Sale,” Financial Planning, February 12, 2019.
• “Morgan Stanley Ordered to Hand Over Evidence in Lawsuit Claiming Theft of Confidential Information,” Financial Advisor IQ, February 6, 2019.
• “Cambridge to Pay Ex-Advisor Award After Seeking $390K in Arbitration,” Financial Planning, December 4, 2018.
• “Morgan Stanley’s Lucrative New Retirement Packages Might Come With a Big Catch.” Financial Advisor IQ, October 19, 2018.
• “Judge Denies Morgan Stanley’s TRO Claim Against Illinois Team.” AdvisorHUB, September 26, 2018.
• “Edward Jones Fights Advisor With Restraining Order.” Financial Advisor IQ, September 25, 2018.
• “Morgan Stanley Seeks TRO Against Team that Jumped to Stifel in Illinois.” AdvisorHUB, September 21, 2018.
• “Brokers Who Fired First at Morgan Stanley Settle Claims.” AdvisorHUB, September 14, 2018.
• “Merrill Wins TRO but Lets Brokers Notify Customers of Move.” AdvisorHUB, August 3, 2018.
• “How Morgan Stanley, UBS Slashed Advisor Attrition.” On Wall Street, July 18, 2018.
• “The Fugitive Who Was a Securities America Advisor.” Financial Planning, July 5, 2018.
• “Since Morgan Stanley and UBS Left Protocol, FAs find it Harder to Jump Ship.” Financial Advisor IQ, June 7, 2018.
• “Drug Memoir Writer and Morgan Stanley Tangle in Court.” On Wall Street, June 1, 2018.
• “Morgan Stanley Breakaways Sue Wirehouse for Client Access.” Financial Advisor IQ, May 22, 2018.
• “Brokers Resign from Morgan Stanley and Quickly Sue It.” AdvisorHUB, May 21, 2018.
• “Morgan Stanley’s Latest Broker Gag Effort Moves to Arbitration.” AdvisorHUB, April 19, 2018.
• “From Sealed Transcripts, the Inside Saga of LPL Financial’s Largest Termination Ever.” Financial Planning, April 11, 2018.
• “Ex-Morgan Stanley Advisor Embroiled in $38M Client Scandal Lands at IBD.” Financial Planning, March 15, 2018.
• “UBS Strengthens Non-Solicitation Language for Some Brokers.” On Wall Street, February 22, 2018.
• “Regulator Suspends Another Morgan Stanley Broker over UIT Sales.” AdvisorHUB, February 9, 2018.
• “A Safe Post-Protocol Landing? Advisor Quits UBS for Raymond Jones.” On Wall Street, February 2, 2018.
• “Whose Client Is It? Morgan Stanley Argues Both Sides, Former Broker Claims.” AdvisorHUB, January 31, 2018.
• “Another Former Morgan Stanley Broker Loses New Job After TRO.” AdvisorHUB, January 11, 2018.
• “Iceland Makes Equal-Pay History.” Human Resource Executive, January 8, 2018.
• “Morgan Stanley Wins Partial Victory Against Breakaway Broker.” On Wall Street, December 13, 2017.
• “Morgan Stanley Seeks Restraining Order on Former FA.” Financial Advisor IQ, December 13, 2017.
• “UBS, Morgan Stanley Change Advisor Recruiting Landscape.” FundFire, November 28, 2017.
• “Morgan Stanley Ties Hands of Broker Who Jumped After Protocol Exit — Sources.” AdvisorHUB, November 21, 2017.
• “Morgan Stanley Brokers Jump Early Under Protocol Pressure.” AdvisorHUB, November 2, 2017.
• “Morgan Stanley’s Broker Protocol Exit: How Did We Get Here?” InvestmentNews, November 2, 2017.
• “Stifel CEO: Broker Protocol ‘Will Unravel.’” On Wall Street, October 31, 2017.
• “Fiduciary Rule to Make FINRA Arbitration More Difficult for Advisors.” Financial Planning, September 11, 2017.
• “FINRA Benches Former Merrill PBIG Stars over Outside Businesses.” AdvisorHUB, August 3, 2017.
• “Janney Nabs Advisor Who Left Merrill Amid Allegations.” FundFire, May 12, 2017.
• “Facing $1M clawback, adviser finally gets day in court – and wins.” On Wall Street, March 27, 2017.
• “Is Signet’s Response Enough?” HRE Daily, March 10, 2017.
• “In Battle Over Bonuses, Why So Many Advisers Lose it All in Arbitration.” On Wall Street, December 19, 2016.
• “Merrill Boots $1.4-Billion Boston Broker over Expense Account Filing.” AdvisorHUB, November 22, 2016
• “JPMorgan Wins Restraining Order Against Big Team that Jumped to LPL.” AdvisorHUB, November 9, 2016.
• “Wells Fargo claws back more than $1 million from broker claiming wrongful termination, FINRA says.” InvestmentNews, October 25, 2016.
• “Wells Fargo Broker Fired Over Client Paperwork Must Return $1 Mln Bonus.” AdvisorHUB, October 24, 2016
• “Morgan Stanley Slams Futures Advisors with Compensation Revamp.” AdvisorHUB, July 28, 2016
• “What’s Behind the Record Sanctions Against Merrill Lynch?” On Wall Street, June 23, 2016.
• “Fired Merrill Stars Face Regulatory Action Over Whiskey Investment.” AdvisorHUB, May 19, 2016.
• “Reflecting on Uber’s Classification Settlement.” HRE Daily, April 22, 2016.
• “Ex-Merrill Sales Boss Prevails in Arbitration, Wins Withheld Shares.” AdvisorHUB, April 15, 2016.
• “Why FINRA’s $500K Fine Against Raymond James Was a Rare Move.” On Wall Street, March 28, 2016.
• “Raymond James Loses $600K Arbitration Case to Ex-Client.” On Wall Street, February 25, 2016.
• “Sieving Through the EEOC’s Data.” HRE Daily, February 12, 2016.
• “Brokerages Brace for a Wave of Departures.” The Wall Street Journal, January 7, 2016.
• “What Bill Gross’s $200-million Lawsuit Seeks to Set Straight and Why the Key Allegation Might Have Merit.” RIABiz, October 9, 2015.
• “Morgan Wins $430K Arbitration Case Against Advisor.” On Wall Street, September 24, 2015.
• “The Odd Case of MetLife’s Claim That it’s Being Bullied by LPL.” RIABiz, August 18, 2015.
• “Morgan Claws Back $750K From Advisor.” On Wall Street, August 17, 2015.
• “MetLife Hits LPL With Major Raiding Suit.” Investment News, August 4, 2015.
• “Fidelity Suit Says Defector Lures Clients to Wells Fargo.” New Jersey Law Journal, June 18, 2015.
• “Merrill Wins $1.3M Clawback from Ameriprise Advisor.” On Wall Street, June 12, 2015.
• “Applebee’s Is Trying to Limit Workers’ Ability to Sue the Company When Their Wages Are Stolen.” In These Times Magazine, June 9, 2015.
• “Fired Merrill Veteran, Daughters Hired by RBC.” Wall Street Journal, April 10, 2015.
• “Cracking Down on Confidentiality Agreements.” Human Resource Executive Online, April 6, 2015.
• “Merrill Doesn’t Hesitate to Ax Big Producers, Sending Message.” Wall Street Journal, April 4, 2015.
• “Ex-Advisor Racks Up $16M in Client Complaints.” On Wall Street, March 18, 2015.
• “Morgan Stanley’s New Comp Model: Savings for Whom?” On Wall Street, March 16, 2015.
• “Ex-Merrill Advisor Ordered to Pay $400K.” On Wall Street, January 1, 2015.
• “DOJ’s Move to Protect Transgender Individuals.” Human Resource Executive Online, December 19, 2014.
• “Advisor Wins $150K From Morgan Stanley for ‘Emotional Distress’.” On Wall Street, December 4, 2014.
• “How Schwab’s Firing of a Small RIA as a Client Became a Three-year Legal Ordeal (Part 1).” RIABiz, November 20, 2014.
• “$2.5 Billion Adviser Duo Fired by Merrill Lynch Lands at Stifel.” InvestmentNews, October 21, 2014.
• “Stifel Financial to Hire Two Former Merrill Lynch Advisers.” Wall Street Journal, October 20, 2014.
• “After Merrill Lynch Allegedly ‘crippled’ their Careers, Two Advisors are Prepping a Big Counterstroke.” RIABiz, October 14, 2017.
• “Fired Advisors Fight Firms for Assets.” FundFire, October 14, 2014.
• “Ex-brokers Weigh Suit Over Firing.” Rochester Business Journal, October 10, 2014.
• “Terminated $2.5 Billion Merrill Lynch Team Plans to Fight Back.” InvestmentNews, October 7, 2014.
• “Are Termination Forms Ripe for Abuse?” On Wall Street, September 2014.
• “Wall St. Watchdog Signals Shift in Bonus Disclosure Plan.” Reuters, September 17, 2014.
• “Schwab Loses $15 mln Arbitration Case Against Morgan Stanley.” Reuters, August 26, 2014.
• “Do Your Clients Trust You?” FinancialPlanning, July 1, 2014.
• “Ex-Credit Suisse Brokers Sued Over Alleged Theft of Client Data.” InvestmentNews, June 30, 2014.
• “Ameriprise Sweetens Broker Signing Bonuses in Effort to Catch Up on Top Recruiting.” Reuters, June 12, 2014.
• “UBS Unit Must Pay $5.4 mln to Ex-broker who Sold Lehman Notes -Panel.” Reuters, April 7, 2014.
• “Ex-broker Tries to Use Privacy Lawsuit to Clean Up Record.” Reuters, February 27, 2014.
• “Wearing Two Hats Triggers Compliance Headaches for Advisers.” Reuters, January 30, 2014.
• “HR Plaintiffs Build Their Case Against Lowe’s.” Human Resource Executive Online, January 24, 2014.
• “Wall Street Watchdog Puts Up Fight in Calif. Broker Cases.” Reuters, November 14, 2013.
• “Backs to the Wall, Wirehouses Renew Legal Efforts to Stem Team Breakaways – With Junior Partners Sparking the Tension.” RIABiz, October 22, 2013.
• “Lifeguard’s Injuring of Pedestrian Cause for Shore Town’s Liability.” New Jersey Law Journal, September 23, 2013.
• “When a Sales Assistant Becomes a Liability.” Reuters, August 1, 2013.
• “Wealth Firms Target the Rich With $50,000 Financial Plans.” Reuters, July 10, 2013.
• “How to Avoid Getting Caught Pre-Defection.” Wealth Management: Wall Street Journal, June 18, 2013.
• “How to Avoid Getting Caught Pre-Defection.” Wall Street Journal, May 2, 2013.
• “Don’t Alert Clients Before Defecting.” Wall Street Journal, April 30, 2013.
• “Snagging Too Much Information Lands Broker in Hotseat.” Reuters, April 2, 2013.
• “Making the Jump Ahead of Bonus-disclosure Rule.” Reuters, March 26, 2013.
• “Wells Fargo Boosts Adviser Force as Rivals’ Numbers Decline.” Reuters, January 11, 2013.
• “Veteran Broker Departures Shift $133 billion Client Assets in 2012.” Reuters, January 7, 2013.
• “Raiding Claims Keep Broker Recruiting in Check.” Reuters, December 7, 2012.
• “The End Game: Why every adviser needs a ‘go bag.’” Investment News, October 23, 2012.
• “Lawyer Aims to Derail $40M Merrill Settlement.” Dow Jones Newswire, September 18, 2012.
• “Settlement Leaves Ex-Merrill Brokers With Choice.” Dow Jones Newswire, August 23, 2012.
• “Small Business: Using noncompete clauses.” Newsday, July 15, 2012.
• “Third-Party Claims Held Not Subject to FINRA Arbitration.” New Jersey Law Journal, July 2, 2012.
• “Guarding Your Business When You’re Sick.” MSNBC, June 25, 2012.
• “Exclusive: Merrill Replaces Law Firm in Broker Pay Cases.” Reuters, June 22, 2012.
• “Merrill Unrelenting in Battle With Former Brokers.” Reuters, June 7, 2012.
• “Merrill Advisor Retreats After 10 Days at MSSB.” FundFire, June 7, 2012.
• “Morgan Stanley: If Clients Overpaid for Facebook Shares, They Will Get an Adjustment.” Dow Jones Newswire, May 23, 2012.
• “Merrill MVPs Earn Half Firm’s Revenue, Big Paychecks.” Reuters, May 9, 2012.
• “Merrill Wins Back Client Data From Ex-Advisers.” Dow Jones Newswire, April 26, 2012.
• “Citi Can Promote Executive Tied to Grubman Scandal.” Reuters, April 25, 2012.
• “Once a Legend, Now Something Less.” Crain’s New York Business, April 1, 2012.
• “Judge Has Harsh Words for FINRA Arbitration.” Dow Jones Newswire, March 22, 2012.
• “Broker Departures Accelerate at Merrill Lynch.” Reuters, March 13, 2012.
• “Your Practice: Keys to Sealing a Partnership Deal.” Reuters, March 9, 2012.
• “Early Reshuffle of Brokers Mean Big Changes Ahead in 2012.” Reuters, February 1, 2012.
• “FINRA Fines Merrill For Trying To Bypass Arbitration.” Dow Jones Newswire, January 25, 2012.
• “Merrill Fined $1 mln for Failure to Arbitrate.” Reuters, January 25, 2012.
• “Bonus (Cry)babies Taking the Money and Running.” New York Post, January 14, 2012.
• “SEC Upholds Sanctions vs. Broker Who Took Client Data.” Reuters, January 9, 2012.
• “Headhunters Target Merrill Advisers as Incentives Wane.” Reuters, January 6, 2012.
• “Regional Firms Trump Big Brokers in Adviser Hiring.” The Chicago Tribune, December 30, 2011.
• “Brokers Could Find the Grass Greener Again at Rivals in 2012.” Dow Jones Newswire, December 13, 2011.
• “Heading Up a Branch Office Seen as Risky Game.” Reuters, December 2, 2011.
• “AllianceBernstein Sues More Departed Advisors.” FundFire, September 13, 2011.
• “Former Lehman Bankers May Face Bonus Clawbacks.” Fins, August 16, 2011.
• “Lehman Pursues Former Brokers’ Bonuses.” Wall Street Journal, August 16, 2011.
• “Ex-Merrill Brokers Keep Bonuses, Get Windfalls.” Dow Jones Newswire, June 29, 2011.
• “Merrill Goes After Ex-Employee’s Funds But Is Ordered to Pay Him $4 Million.” New Jersey Law Journal, June 13, 2011.
• “Merrill Lynch Financial Advisor May Keep $3.3M Signing Bonus Despite Departure a Year Later, Panel Rules.” Trenton Times, May 17, 2011.
• “Ex-Merrill Advisor to Keep $3.3M Signing Bonus.” FundFire, May 10, 2011.
• “Merrill Lynch Loses $3.3M Signing Bonus Case Against Former Adviser.” The Wall Street Journal, May 9, 2011.
• “Wells Wins Sliver of Amount Sought in Stifel Raiding Claim.” Reuters, April 13, 2011.
• “Broker Protocol Signings Regain Momentum Amid New Signs That the Wirehouses Could Shut the Breakaway Portal.” RIABiz, April 5, 2011.
• “No Garden Tending for Merrill Brokers.” Dow Jones Newswire, March 9, 2011.
• “News for Brokers, Wealth Managers and Their Clients.” The Wall Street Journal, March 8, 2011.
• “The Offer Advisers Can’t Refuse.” InvestmentNews, March 2, 2011.
• “The Ways Brokers Can Cut the Ties That Bind.” The Wall Street Journal, March 2, 2011.
• “US Trust’s ‘Garden Leave’ May Start Trend.” The Wall Street Journal, February 22, 2011.
• “US Trust Asks Employees to Confirm Broker Protocol Doesn’t Apply.” Dow Jones Newswire, February 18, 2011.
• “BofA, Dynast End Worker Trade Secrets Suit.” Law360, January 25, 2011.
• “Nothing Sticks in Oppeheimer’s Raiding Flap.” Dow Jones Newswire, January 10, 2011.
• “Merrill Wins $1M Repayment from Fired Advisor.” FundFire, January 10, 2011.
• “Fired Merrill Broker Ordered to Pay Over $1 mln.” Reuters, January 7, 2011.
• “UBS to Pay $2.8M to Former Top Recruiter in Contract Flap.” Financial Advisor Magazine, January 4, 2011.
• “UBS Must Pay $2.8M to Former Wealth Recruiter.” FundFire, January 4, 2011.
• “UBS AG to Pay $2.8M to Former Recruiter.” The Compliance Exchange, January 4, 2011.
• “FINRA to Ease Arbitrator Standards in Bonus Cases.” Financial Advisor Magazine, December 21, 2010.
• “Judge Halts Ex-U.S. Trust Team From Using Client Info.” Westlaw News & Insight, December 10, 2010.
• “How to Switch Firms… and Not Get Sued.” The Wall Street Journal, September 20, 2010.
• “J.P. Morgan Sues Former Adviser.” Forex Tools Asia, August 17, 2010.
• “J.P. Morgan Sues Ex-Advisor, Morgan-Smith Barney.” FundFire, July 8, 2010.
• “J.P. Morgan Sues Former Adviser.” Reuters, July 7, 2010.
• “Smith Barney Raiding Decision No Trend-Setter.” The Wall Street Journal, May 7, 2010.
• “FINRA Panel Throws Out Smith Barney Raiding Case.” Dow Jones, May 5, 2010.
• “Barclays, Deutsche Settle $5.5B Advisor Suit.” FundFire, May 3, 2010.
• “Deutsche Team Goes to Barclays After Suit Settled.” Reuters, April 30, 2010.
• “Advisors Urged to Keep Quiet When Leaving.” FundFire, April 29, 2010.
• “Wealth Manager – Advisers Switching Firms Need a Plan.” Reuters, April 27, 2010.
• “Some Predict Broker Protocol Overhaul.” RegisteredRep, February 26, 2010.
• “The Recruiting Wars Turn Nasty.” FinancialPlanning, February 24, 2010.
• “Goldman Drops Case Against Former Advisors.” On Wall Street, February 19, 2010.
• “Broker Protocol May Be Endangered by Complexities as Membership Starts to Explode.” RIABiz, January 20, 2010.
• “AT&T Accused of Violating ADEA.” Human Resources Executive Magazine, January 2010.
• “Citi Files Motion to Dismiss in Bonus Pay Class Action.” RegisteredRep, January 14, 2010.
• “RIAs Drive Explosive Growth of the Broker Protocol.” RIABiz, November 17, 2009.
• “Compliance Watch: Expulsion Shows Risks of Outside Accounts.” The Wall Street Journal, October 19, 2009.
• “Can You Take It With You?” RegisteredRep, September 29, 2009.
• “Sarkozy Threat to Shun Banks on Pay Draws U.S. Alarm.” Bloomberg, August 2009.
• “An EEOC Under Berrien?” Human Resource Executive Online, August 10, 2009.
• “Securities Sales Not Subject To Fraud Act: NJ Court.” Law360, June 5, 2009.
• “Broker’s World: Brokers Fight Bonus Repayment – And Lose.” Dow Jones Newswire, May 7, 2009.
• “The Last Weapon.” On Wall Street, April 1, 2009.
• “Brokers Battle Over Client Info.” Lancaster Online, March 17, 2009.
• “FINRA Rule Strengthens Client Transfer Rights.” Wall Street Letter, March 12, 2009.
• “Judge Clears Two Ex-Smith Barney Brokers.” Investment News, March 2, 2009.
• “CEO May Be Rethinking BofA’s ‘Crown Jewel.’” Bloomberg, January 13, 2009.
• “Brokers Disdain Toaster Salesmen in Bank America’s Merrill Deal.” Bloomberg, January 9, 2009.
• “Financial Advisory Firms Sign Pact to Ease Poaching.” Reuters, December 2, 2008.
• “Bank of America to Sign Broker Recruiting Pact-Memo.” Reuters, November 6, 2008.
• “Bank of America Says Merrill Brokers Can Quit Without Penalty.” Bloomberg, November 6, 2008.
• “Litigation Gets Personal.” National Law Journal, August 6, 2007.

Affiliations

• St. Peter’s University Medical Center in New Brunswick, Board of Trustees-Family Practice Board; Member
• Camp Fire Boys and Girls of New Jersey, Past President and Board Member
• The American Heart Association of Mercer County, Past President and Board Member
• American Red Cross, Board Member
• The Bedens Brook Club, Board Member, Executive Committee Member, Golf and Greens Chairman

Recognition

• As published in New Jersey Monthly, recognized as a New Jersey Super Lawyer repeatedly since 2005, having been selected by his peers as among the top 5 percent of lawyers in the state
• AV^®Preeminent™ rated by LexisNexis Martindale-Hubbell, which is the highest rating for legal ability and general ethics
• Among only 187 lawyers nationwide to be selected for excellence in client service with a 2015 Client Choice award, based on feedback from senior in-house counsel

Education

• St. Louis University School of Law, J.D.
• Villanova University, B.A.

Bar Admissions

• New Jersey

Court Admissions

• U.S. District Court for the District of New Jersey
• U.S. Court of Appeals for the Third Circuit