- Filed False Claims Act case which the Justice Department and the Department of Education accepted which led to a request for disgorgement of $187,000,000.00 from the respondent.
- Recovered approximately $2,235,784.00 in complex securities litigation multi-plaintiff case.
- Lead counsel on two related cases involving approximately 95 plaintiffs in Deceptive Trade case.
- $500,000.00 Plaintiff settlement in ADEA (age) and ADA (disability) discrimination suit against Fortune 500 company.
- Plaintiffs’ award in securities arbitration totaling in excess of $370,000.00 which held the CEO personally liable for a portion of the award.
- Advise Broker Dealer clients on the various public and private financing vehicles available and the regulations controlling same under both federal and state law.
- Project case manager coordinating civil, tax and criminal counsel on federal mail/wire fraud defense in potential 50 state indictment involving complex international tax issues, extradition, civil trials and resulting in a $1,200,000.00 restitution and downward departure issues for sentencing.
- Representation of minority shareholder in complex divorce litigation in which client held the controlling vote for board representation
- Lead counsel for corporation held in gridlock by minority shareholder pursuant to shareholders’ agreement and developed strategy for sale of further stock issuance which diluted voting control.
- Removed $800,000.00 of contested liens against high rise commercial building for a group of Asian national clients.
- Closing over 164 real estate lots with major developer, U.S. Homes.
- Lead counsel of sale of high rise commercial building.
- Lead counsel in age discrimination litigation against Fortune 500 company.
- Defended majority shareholder and private company in sexual discrimination litigation.
- Defending majority shareholder and company in shareholder derivative action.
- Prepared Regulation A offering document, all state and federal filings and respond to comment letters.
- Equity purchase of five corporations and consolidation of franchise interest in an L.L.C. from national franchise chain.
- Develop stock option and bonus compensation plans, shareholder agreements, and various corporate records authorizing same.
- Incorporated limited liability corporations, a C Corp, and advised others on the efficacy of the new statutory vehicles for limited liability.
- Settled complex Dallas, Texas anti-trust case involving Mexican national client corporation against defendant Fortune 500 company.
- Developed international financial products and the underlying documentation for large multi-national insurer and re-insurer client.
- Defended Fortune 500 company in attorney fee dispute.
- Defended multi-national insurer in New Jersey insurance bad faith case that led to a withdrawal of plaintiffs’ counsel and dismissal of case.
- Defended Fortune 500 real estate management company in age discrimination litigation with Plaintiff’s case dismissed on summary judgment motion.
- Large freight forwarder defense in personal injury case.
- Broker Dealer’s counsel in $20,000,000.00 REIT S-11 filing with the SEC.
- Premises liability case against Fortune 500 hotel chain.
- Advise Broker Dealers in SEC and State regulatory and criminal investigations.
- Defense of Broker Dealers in investor related disputes.
- Five (5) company rollup merger into L.L.C
- Settled nationwide insurance bad faith class action for Insurance Company client for $60,000 on potentially catastrophic liability exposure.
- Prepared Wells Submission on behalf of clients alleged to be involved in violations of Section 5 of the Securities Act of 1933, as amended in case were disgorgement penalties exceeded $500,000.
- Assisted SEC in prosecution effort for defrauded clients against rogue broker to prepare federal criminal case against broker resulting in criminal indictment, prison term and disgorgement of client funds by employer broker dealer and the shareholder of the broker dealer. This case also resulted in the compliance officer of the broker dealer being barred from the industry for life.
- Settlement among several defendant freight forwarding companies who were sued by the shipper for damage on a load sent from California to Texas.
- The Spencer Law firm has appeared in Texas Department of Transportation investigations on behalf of its clients.
- We have extensive experience in negotiating, drafting and completing sales and acquisitions of transportation companies and their associated properties.
- Assist transportation clients with their collection efforts, including recovery of the debt through litigation.
- In collection suits, we have also recovered additional awards under the Texas Theft Liability Act for theft of the client’s services and property, attorney’s fees, and exemplary damages against the customer for its actions.
- Filed class action complaint against UBS PaineWebber, Inc. and UBS Warburg, for securities fraud and violations of federal securities laws as the “captive broker” for Enron and its employee stock option plan.
- Featured in newspaper articles relating to an arbitration matter in which we received punitive damages, not only against the brokerage firm, but jointly and severally against the largest shareholder of the parent company.
- Representing a client in a New York Stock Exchange investigation of his termination after his statements to his clients were in contrary to the brokerage firm’s current recommendation concerning Enron stock (pending).
