Josh Klein represents corporations and individuals in complex disputes involving corporate, securities and commercial issues. He advises clients, both as plaintiffs and defendants, in cases involving allegations of breach of contract, fraud, tortious interference, fiduciary duty, antitrust and violations of the Racketeer Influenced and Corruption Organzaitions Act (RICO). Josh also advises entities and individuals in various enforcement investigations and proceedings brought on by governmental agencies and regulators.
Josh regularly appears before federal and state courts across the country and has also arbitrated extensively before the predominant arbitral bodies, including the American Arbitration Association and the Financial Industry Regulatory Authority (FINRA).
Recent Notable Matters
Global investment bank — obtained complete defense verdict on behalf of client and one of its former registered representatives involving claims of fraud in the sale and valuation of complex structured products*
Global investment bank — obtained complete defense verdict on behalf of client involving claims of unauthorized and unsuitable trading activity*
Global investment bank — obtained summary judgment on behalf of client involving claims of breach of contract and fraud in connection with an alleged finder’s fee agreement*
Registered representative — successfully represented client in connection with FINRA investigation involving allegations of unsuitable trading activity*
Registered representative — successfully advocated for the expungement of erroneous disclosures contained in the broker’s CRD and Forms U4 and U5 following a FINRA arbitration hearing*
Global investment bank — successfully represented client in connection with affirmative claim for breach of contract arising out of the failure of its former client to pay a multi-million dollar investment banking fee*
Global investment bank — successfully represented client in multiple litigations against residential mortgage loan originators for early payment default and breach of representations and warranty claims, obtaining judgments totaling more than $40 million*