FINRA Arbitration, Civil Litigation and Alternative Dispute Resolution

Over 15 years of successful representation of investors and employees in arbitration, civil litigation and alternative dispute resolution at FINRA, the NYSE and in all major domestic forums.   International commercial arbitration in Europe, India and the Russian Federation.   Civil litigation and appeals at all levels of the federal and state judiciary.

For business owners, arbitration can be a cost-effective way to resolve disputes with customers and counter-parties.   The details of an arbitration agreement — including the choice of a forum, the number of arbitrators and fee-shifting provisions — may be overlooked during contract negotiations and can be the difference between a successful and unsuccessful result if a dispute later arises.

Even after a dispute has arisen, arbitration may be available as an alternative to the expense and delay of a lawsuit and is an important resource to consider in preserving good will and business reputation.

New Yorker Cartoon Leo Cullem

Matthew Wade Woodruff received his law degree from the University of Virginia Law School and is an honors graduate of the University of Chicago.   He is admitted to practice in state, federal and bankruptcy court in New York.

He began practice as an associate attorney at Lord, Day & Lord, Barrett Smith and at Becker, Glynn, Melamed & Muffly, LLP, where he practiced international commercial arbitration and litigation.   In 2001, he began practicing under his own name and as of counsel to Eppenstein & Eppenstein and Rich, Intelisano & Katz, LLP.  

He lives in New York City with his wife and two children and is an active member of local bar associations.  

Securities Arbitration

Securities Arbitration

Multi-million dollar recovery of all damages and attorney's fees on behalf of a professional recruiter in an employment dispute with a broker-dealer.  

Recovery of all out-of-pocket losses and attorney's fees on behalf of an small investor defrauded in connection with a "covered call" options writing strategy.   See the award here.

Award of all trading losses and punitive damages on behalf of a group of investors defrauded in a cross-trading scheme.   See the award here.

$3.5 million award on behalf of foreign investors defrauded in a currency trading scheme.   See the award here.

Confirmation of $20 million award against an affiliate of Goldman Sachs & Co.   See the decision here.

Employment Matters

Negotiation of employment and severance agreements on behalf of financial industry professionals, including incentive compensation, stock options, garden leave and relief from promissory notes.   Representation of registered representatives in cross-claims for compensation by member firms and related Form U-4/U-5 disclosures.

International Arbitration and Litigation

Representation of an oil-trading company in numerous arbitrations against domestic and foreign counterparties.

Representation of domestic and foreign entities in international arbitration, including trade finance and cross-border insolvency claims.

Representation of an Italian shoe manufacturer in dispute with importer from former Soviet Union.

Successful defense of individual investors charged with attorney's fees in a failed limited partnership.

Commercial Litigation

Bench and jury trials in state and federal court.   Full range of state and federal court motion practice and discovery.   Appearances before the Second Circuit Court of Appeals and New York State Court Appellant Division. Petitions for review by New York Court of Appeals and United States Supreme Court.

Representative products and issues

Stocks and Bonds Real Estate (TICs and Section 1031 Like-kind Exchanges)
Commodities Insurance and Annuities
Foreign Exchange Tax-Advantaged Investment Vehicles (GRATs and GRITs)
Options Swap transactions
Margin Lending Limited Partnerships and Private Equity
Mutual Funds / ETFs Structured Products