Ranked in 1 Practice Areas
1

Band 1

Litigation: Securities

New Jersey

1 Years Ranked

About

Provided by Anthony J. Borrelli

USA

Practice Areas

Business litigation matters, with a particular emphasis on the financial services industry, including Sales Practice, Employment, Regulatory, Securities Litigation and Corporate Internal Investigations.

Professional Memberships

Member, SIFMA Compliance & Legal Society

Work Highlights

A.J. has also tried a number of cases to conclusion before judges, juries, and arbitration panels. Over his career, A.J. has consistently obtained favorable results for his clients.

Highlights include:

Zero award in a securities arbitration where the claimants alleged theft, fraud, and misrepresentation committed by their financial advisor, who had accepted a lifetime ban from the industry. Without a witness to directly rebut the allegations, the defense was predicated on successfully advocating compliance with FINRA rules on supervision, outside business activities and selling away.

Zero award in a securities arbitration in which the claimant alleged that the firm failed to protect his mother, a vulnerable senior investor, from financial elder abuse.

Zero award plus expungement in a securities arbitration involving Trigger Phoenix Autocallable Optimization Securities. The lengthy explained decision was featured on the front page of the Securities Arbitration Commentator.

Zero award plus expungement in a securities arbitration involving Double-Currency Units, including an award of attorney’s fees against the claimant.

Zero award in a securities arbitration where both the claimant and a hostile former employee offered unrebutted testimony that they had agreed on a certain commission rate that was breached by the firm.

Zero award plus expungement in a securities arbitration in which the claimants alleged that they were provided inaccurate information and that their trading instructions were not followed during the 2009 financial crisis. Successfully defended against damaging documents and admissions by arguing precepts of reasonable reliance and proximate cause.

Zero award plus expungement in a securities arbitration involving an arbitrage strategy around the sale of claimant’s business under I.R.C. Section 1042 and his securities-backed loans.

Zero award plus expungement in a securities arbitration in which the claimant alleged that his orders to liquidate his million-dollar investment portfolio during the financial crisis in October of 2008 were not executed.

Zero award in a securities arbitration in which the claimant alleged overconcentration in stocks issued by, among other banks, Lehman Brothers.

Zero award in a securities arbitration in which the claimant alleged overconcentration in four annuities.

$1.5 million arbitration award in favor of a major brokerage firm and full dismissal of claims for wrongful termination, defamation, and interference with business relations.

$1.1 million arbitration award in favor of a major brokerage firm and full dismissal of claims for wrongful termination, invasion of privacy, and violations of the Fair Credit Reporting Act.

$1 million in arbitration awards in favor of a major brokerage firm and full dismissal of counterclaims against respondents who had alleged fraudulent inducement and misrepresentation.

$435,000 arbitration award in favor of a major brokerage firm and full dismissal of counterclaims alleging age discrimination and violations of FMLA and CEPA.

$210,000 arbitration award in favor of a major brokerage firm and full dismissal of counterclaims alleging violations of wage and hour laws.

Pre-trial dismissal of claims seeking over $1 million for predatory lending, fraud, and violations of the Consumer Fraud Act.

Pre-trial dismissal of claims against a purported corporate successor of an entity allegedly responsible for environmental contamination.

Published decision issued by the Utah Court of Appeals upholding a party’s ability to seek appellate review of a court order vacating an arbitration award.

“No cause” verdict after a jury trial in which the plaintiff claimed personal injuries, property damage, and economic loss due to mold exposure.

Career

A.J. Borrelli is Co-Chair of the Firm, and chairs the Firm’s Securities Litigation, Arbitration, Regulation and Investigations Practice Group, which was awarded “Litigation Department of the Year” for a specialty practice area by the New Jersey Law Journal in 2020.

A.J. has handled a variety of business litigation matters, with a particular emphasis on the financial services industry.

Sales Practice: A.J.’s practice includes defense of claims alleging fraud, self-dealing, churning, breach of fiduciary duty, unauthorized trading, forgery, bribery, conversion, selling away, unsuitability, over-concentration, and violations of the Securities Act of 1933 and the Securities Exchange Act of 1934. He also defends “complex product cases” involving closed-end funds, annuities and structured products. For over five years, A.J. represented a major broker-dealer in a series of related product cases, focusing on the adequacy of disclosures in the offering documents and the scope of discovery in a coordinated, nationwide defense effort. Most recently, A.J. has represented a large financial services firm in the defense of claims related to a managed options strategy.

Employment: He litigates claims unique to the securities industry, including disputes involving employee loans, bonuses, investment banking fees, unpaid compensation, violations of labor statutes or wage and hour laws, defamation, favoritism, constructive discharge, client solicitation, confidentiality, non-compete agreements and severance packages. Of note, A.J. successfully defended a brokerage firm and its employees in a “reverse” sexual harassment case, which was settled and dismissed without any compensation given to the accuser.

Regulatory: A.J. represents broker-dealers and financial professionals in connection with investigations conducted by federal and State law enforcement agencies and inquiries opened by federal and State regulatory bodies.

Litigation: He represented multiple parties in a securities litigation brought against Tyco International (U.S.) Inc. and its officers and directors. A.J. also successfully defended a financial services firm against a consumer class action alleging violations of the Fair Credit Reporting Act. Additionally, A.J. worked with a financial services firm’s Anti-Money Laundering unit to successfully prosecute an interpleader action that involved a fraudulent wire transfer as part of a larger scheme.

Corporate Internal Investigations: A.J. reviews and assesses potential violations of SRO rules and regulations, federal and State securities laws, and internal compliance policies.

Education

Fordham University School of Law

J.D.

1997 - 2000

Boston College

B.A.

1993 - 1997

Awards

New Jersey Trailblazer

New Jersey Law Journal

2020

New Leader of the Bar

New Jersey Law Journal

2012

Chambers Review

Provided by Chambers

USA

Litigation: Securities - New Jersey

1
Band 1
Individual Editorial

Anthony Borrelli leads the firm's securities litigation, arbitration, regulation and investigations practice group. He has a well-established securities practice, with a particular focus on representing financial service clients.

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