Representative Cases

Securities Litigation

Mr. Plotz draws on his background as a securities fraud prosecutor and his extensive experience in all facets of private securities-related litigation, both on the plaintiff and defense side. He has defended corporate CEOs in class actions, a corporation in an action seeking to enjoin a merger, and traders and brokers alleged or suspected of various securities violations. He has represented both corporations and individuals asserting claims against brokers for improper conduct and individuals in disputes with corporations over stock ownership.

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Commercial Litigation, Including Health Care Litigation and Employment Litigation

Mr. Plotz has handled many different types of commercial disputes. These include disputes involving financial institutions and various financial instruments like puts and calls, franchise agreements and related guaranties, attempts to squeeze out officers and shareholders of private companies, corporate dissolutions, unfair competition claims, constitutional takings claims, and many claims alleging breach of fiduciary duty. Bob has also represented many individuals in health-care matters, including a dental student denied his degree, midwives in a Medicaid billing investigation, physicians in disputes with hospitals or other employers, and the CEO of a health-maintenance organization in an accounting fraud investigation. He has also represented many employees in connection with claimed breaches of employment agreements.

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Trusts and Estates Litigation

Mr. Plotz has appeared frequently in the Surrogate’s Courts of New York. He has often represented charitable organizations and individuals in will contests and accountings and in connection with challenges to trusts and trustees' conduct.

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Criminal and Government Investigations

Mr. Plotz has represented targets and witnesses in grand jury investigations and defended corporate officers as well as traders and brokers in investigations by government agencies like the SEC. He is particularly sensitive to the need to weigh the civil and criminal implications where there are existing or potential parallel proceedings.

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