Scott S. Balber

Partner

Practice Description

Scott Balber is an experienced trial lawyer, having conducted more than a dozen trials before juries, judges and arbitration panels. He has appeared in the United States Supreme Court and in state and federal trial and appellate courts in New York, California, Florida, Texas, Connecticut, New Jersey, Pennsylvania and Indiana.

Mr. Balber’s practice focuses on securities, white collar criminal defense, bankruptcy, general commercial, intellectual property and labor and employment litigation. He has also advised numerous companies and individuals regarding compliance with securities rules and regulations and has provided counsel to several start-up ventures. He has represented clients based in the United States, as well as in Japan, Mexico and Belgium.

Representative Matters

Commercial and Securities Litigation

• Representation of international development bank in connection with claims asserted against private equity group arising out of failed Bolivian telecommunications company investment. 
• Representation of a consortium of lenders in a $1 billion dollar letter of credit facility in connection with subrogation claims asserted in Mirant Corporation Chapter 11 proceedings. 
• Representation of Chairman and Chief Executive Officer in connection with nationwide securities class action and derivative lawsuits arising out of massive financial fraud at Fortune 500 healthcare company. 
• Representation of a global investment bank in securities fraud and breach of contract actions commenced by 65 institutions and high net worth individuals who allegedly sustained $600 million in losses in market neutral hedge fund investments. 
• Representation of investment bank executive in mutual fund market timing class action lawsuits. 
• Representation of energy company in connection with class action lawsuits and Federal Energy Regulatory Commission proceedings arising from the California energy crisis. 
• Representation of Mexican construction conglomerate in proceedings before the United States Court of Appeals for the Second Circuit and the United States Supreme Court in defense of lawsuit by United States bondholders. 
• Representation of collateralized mortgage backed securities salesmen in connection with class action lawsuits and proceedings initiated by the Delaware Commissioner of Insurance. 
• Representation of a global investment bank in connection with class action lawsuits arising from Orange County, California bankruptcy filing. 
• Representation of a construction company and its executives in defense of gender discrimination and sexual harassment lawsuit. 
• Representation of a Japanese consumer products company in defense of a trademark infringement claim arising from alleged breach of license agreement. 
• Representation of a joint venture partner in an arbitration regarding ownership of intellectual property rights of a heart-assisted balloon pump. 
• Representation of a joint venture partner in an arbitration regarding ownership of intellectual property rights of a financial services product directed to shared appreciation mortgages.

Securities and Exchange Commission/Department of Justice Proceedings

• Representation of mutual fund company in an SEC investigation concerning directed brokerage, 12b-1 fee, soft dollar and proprietary trading issues. 
• Representation of Chief Executive Officer of Fortune 500 healthcare company in actions commenced by the Department of Justice and the SEC alleging financial fraud and insider trading. 
• Representation of the Chief Actuarial Officer of a global reinsurance company in an SEC investigation concerning finite risk products. 
• Representation of investment bank executive in SEC investigation involving mutual fund market timing. 
• Representation of Chief Executive Officer of publicly traded home health care company in federal criminal proceedings alleging mail and wire fraud, money laundering, tax evasion and obstruction of justice. 
• Representation of real estate developer in federal criminal tax proceedings. 
• Representation of European executive in connection with Foreign Corrupt Practices Act investigation.

Internal Investigations

• Conducted internal investigation concerning insider trading allegations at broker-dealer. 
• Conducted internal investigation concerning employee defalcation issues at global investment broker. 
• Conducted internal investigation concerning pension plan contribution issues at international trade association.

Honors

Publications