Litigation; Securities Arbitration; Federal Courts

Financial Industry Regulatory Authority, Inc., Formerly Known as National Association of Securities Dealers, Inc. v. Fiero, et ano., 10 N.Y.3d 12, 853 N.Y.S.2d 267 (2008) (in action by NASD to collect disciplinary award, reversing $1.3 million judgment and dismissing complaint, due to exclusive federal subject matter jurisdiction);

Denver Area Educational Telecommunications Consortium Inc. v. FCC, 518 U.S. 727 (1996) (landmark U.S. Supreme Court decision invalidating portions of Helms Act that restricted indecent material on cable TV in part based on plurality opinion adopting argument of Mr. Graifman and co-counsel on the brief);

Bensadoun v. Jobe-Riat, 316 F.3d 171 (2d Cir. 2003) (oft-cited case and successful reversal in which Mr. Graifman convinced federal appeals court that third-party investors in pooled fund were not "customers" for purposes of NASD compulsory arbitration);

Tristar Corp. v. Freitas, 84 F.3d 550 (2d Cir. 1986) (case reported in NY Times involving Section 16(b) of the Securities Exchange Act of 1934, governing short swing profits, in which Mr. Graifman convinced the federal appeals court in New York to reject a long-standing rule established by the federal appeals court in California, and vacate a hefty judgment rendered (prior to Mr. Graifman's involvement) against his clients; after which U.S. Supreme Court, at Mr. Graifman's urging, rejected application by U.S. Solicitor General for further review);

Browner v. Kenward (Tropea v. Tropea), 87 N.Y.2d 727 (1996) (following Mr. Graifman's successful application to hear the matter, New York's seminal case by its top court (New York Court of Appeals), changing the standard for child relocations in New York; featured on front pages and op-eds of newspapers nation-wide, resulting in Mr. Graifman appearing on a ½-hour special of CNN's Burden of Proof (with Greta Van Sustren and "Dr. Laura" Schlesinger));

Fiero v. SEC, Summary Order # 98-4103, 1999 WL 33952140 (2d Cir. Jan. 20, 1999) (rare case reversing & vacating sanctions imposed by NASD Enforcement that had been sustained by the NASD & SEC);

Application of Inyx, Inc. v. Bartke, Index No. 600828/08 (Sup. Ct., New York County Oct. 21, 2008), as featured in New York Law Journal, Nov. 6, 2008, at 28, col. 1 (rare vacating of arbitration award under Federal Arbitration Act; arbitrator improperly refused to hear evidence pertinent to attorneys' fees after accepting claimant's post-hearing schedule of attorneys' fees);

In re Vetco, Inc., 292 A.D.2d 391, 738 N.Y.S.2d 599 (2d Dep't 2002) (successful appeal by Mr. Graifman addressing valuation of minority share in corporation marketing OTC pharmaceuticals);

Merriam-Webster, Inc. v. Random House, Inc., 35 F.3d 65 (2d Cir. 1994) (trade dress battle of the red dictionaries), cert. denied, 513 U.S. 1190 (1995);

Borden, Inc. v. Meiji Milk Prods. Co., 919 F.2d 822 (2d Cir. 1990) (triumphant appeal affirming dismissal of application for preliminary injunction in aid of arbitration on grounds of more appropriate foreign forum, and deciding important issue of federal court jurisdiction to entertain such applications in context of international arbitrations);

In re Prudential Secs., Inc., 795 F. Supp. 657 (S.D.N.Y. 1992) (victorious motion to remand to state court based on federal court's lack of federal subject matter jurisdiction to consider motion to compel NASD arbitration);

Gruenewald v. 132 West 31st St. Realty Corp., 205 A.D.2d 498, 613 N.Y.S.2d 39 (2d Dep't 1994) (successful reversal by Mr. Graifman, striking punitive damages claims in wrongful termination case);

Glendora v. Cablevision Systems, Corp., 45 F.3d 36 (1995) (successful reversal where subsequently, on remand, federal judge complimented Mr. Graifman and co-counsel, stating "we are fortunate to have skilled counsel as amicus curiae").

Chapter, Non-Customer "Customers" & Compulsory NASD Arbitration. In SECURITIES ARBITRATION 601-16 (PLI Aug. 15, 2002).

Chapter, Federal Civil NONPARTY DISCOVERY: Things You Need To Know That Nobody Tells You. In WINNING CASES IN FEDERAL COURT (NYCLA April 1 & 8, 2002).

Chapter, Federal Civil Practice: Pitfalls & Best Practices. In 1 LEGAL MALPRACTICE: TECHNIQUES TO AVOID LIABILITY 719-39 (PLI June 30, 1999).

Court Rules [Report on the Proposed Arbitration Fairness Act of 2007], 249 F.R.D. 402 (N.Y. County Lawyers’ Association, Committee on Federal Courts, Apr. 15, 2008) (Subcommittee Co-Author).

Comments on Interim (and Proposed) Local Rule 34. [oral argument at United States Court of Appeals for the Second Circuit] (N.Y. County Lawyers’ Ass’n, Committee on Federal Courts, Sept. 26, 2007) (published at www.nycla.org news & publications, committee reports) (Subcommittee Co-Author)

Report on the Reaffirmation of American Independence Resolutions, U.S. House Resolution 97 and Senate Resolution 92 (N.Y. County Lawyers' Ass'n Apr. 14, 2005) (published at www.nycla.org reports) (Subcommittee Chair, NYCLA Committee on the Federal Courts) (subsequently adopted by the New York State Bar Association).

AV-Rated (highest rating) by Martindale-Hubbell. Featured in Marquis Who's Who in America, Marquis Who's Who in American Law, Marquis Who's Who in the World. Research Editor, New York Law School Law Review, 1987-1988. Semi-Finalist, John Marshall (Benton) National Moot Court Competition, Chicago, 1987. Best Team, Harlan Moot Court Competition, 1986. Wrote music/lyrics to 3 musicals performed, 1974-1976.

Chair & Speaker, New York County Lawyers’ Association, Committee on the Federal Courts, 2003 Edward Weinfeld Luncheon, attended by over 30 Federal Judges and Magistrate Judges (and other dignitaries), introducing Honorable former Mayor Edward I. Koch.

New York, N.Y., 1955