Litigation, Arbitration & Investigation
Securities, Investment & Finance
Unfair Competition and Intellectual Property
Advice & Counsel
Straight talk, integrity, excellence, and professional demeanor at all times
Seasoned judgments on critical decisions affecting client interests
PROFESSIONAL EXPERIENCE AND RECOGNITION
Litigation at all levels of state and federal Courts, including the U.S. Supreme Court
Advocate for clients before SEC, FINRA, MSRB, state and federal agencies
Chair Northwest Securities Institute (2002-2003)
Recipient WSBA’s Frank Homan Award for Excellence in Administrative Law (2007)
Chair WSBA Task Force on Administrative Law – drafted and negotiated Washington Administrative Procedure Act
Partner at three previous law firms: Miller Nash LLP; Reed McClure; LeSourd & Patten, P.S.
Martindale-Hubble Highest Ranking: “AV”
University of Washington: J.D. and B.S. (Economics)
SELECTED ARTICLES AND PUBLICATIONS
Civil Investigatory and Prosecutorial Discretion (The Seminar Group 2013)
Limits on Agencies and Self-Regulatory Organizations Investigations (WSBA Seminar 2011)
Attorney-Client Privilege and Today’s Technology (WSBA Seminar 2009)
Electronic Document Preservation and Production (WSBA Seminar 2009)
Wake-Up Call on Electronic Discovery (WSBA Bar News 2007)
Is Arbitration Worth It? (WSBA 2000)
SELECTED REPRESENTATIVE CASES AS LEAD COUNSEL
• Defended broker-dealer under investigation by SEC by initiating counter lawsuit asserting lack of authority and misconduct by SEC staff. Ninth Circuit Court of Appeals ruled for client. Federal government appealed to the United State Supreme Court. On remand from the Supreme Court, the District Court refused to enforce SEC subpoenas. SEC terminated the investigation.
• Represented Indian Tribe against $600 million claim by New York investment bankers arising out of Tribe’s termination of a contract for financing casino. After extensive discovery, motions and court-ordered mediation in Federal and Tribal Courts, a settlement was ultimately negotiated.
• Defended manager of closely-held corporation who purchased shares of the company’s founders in a leveraged buyout. After a multi-week trial, Federal judge dismissed securities fraud claims on a finding that founder’s testimony was “incredible.” Ninth Circuit upheld dismissal.
• Provided early case assessment to a nonprofit foundation on interpretation of patent license involving complex biomedical and negotiation circumstances. Concluded client was entitled to multi-millions in past and future revenue. Client’s demand for increased revenue was not challenged by licensee.
• Defended class action lawsuit against broker-dealer by narrowing the class to a size uneconomical for class counsel, resulting in a settlement very favorable to the broker-dealer.
• Served as plaintiff’s counsel for an Alaska Native Corporation whose timber funds were mismanaged by a broker who misrepresented himself as a money manager. The client suffered no out-of-pocket loss, but failed to make a reasonable return. After pre-trial proceeding, depositions, and court-conducted mediation, a substantial settlement was obtained for client.
• Defended broker-dealer in FINRA investigation in which FINRA demanded sanctions of hundreds of thousands of dollars. After depositions, factual and legal argument in Well’s submission, and negotiation, FINRA closed investigation without sanctions.
• Served as trial counsel for a broker’s broker in arbitration proceeding against competitor for “raiding” of broker’s specialized trading department. Client was awarded substantial damages.
• Defended a broker-dealer against claims of “raiding” a retail subdivision of a competitor. After one day of an anticipated three week arbitration hearing, claimant offered settlement favorable to client.
• Defended a national securities brokerage in New York Federal District Court against IP claims by a specialized software provider against client and competing provider. After pre-trial motions and lengthy negotiations, a three-way settlement was negotiated.
• Represented manufacturing business hit with substantial increase in workman compensation fees by a state agency. Court held on summary judgment that increase exceeded agency authority.
• Defended supplier of consumer goods to military and retail chains against claims that it conspired with others to keep new entrant out of market. After extensive discovery, Alaska Federal District Court granted summary judgment dismissing military allegations. Case settled favorably.
• Represented the assignee of a patent in arbitration proceedings against the assignor for infringement and breach of contract. The arbitrator awarded full relief to the client.
• Defended individual broker against allegations by SEC of misrepresentation to customers. Testimony of customers at hearing refuted SEC claims. Administrative Judge found no misrepresentation.
Available upon Request
C. Dean Little, Esq.
1700 Continental Place
Mount Vernon, Washington 98273.