• focused

  • responsiveness

  • practical

  • creative

  • Strong legal advice leads to expedited resolution of securities case.

    Executive clients involved in securities litigation against their former employer requested our advice on adding a cause of action focusing on ERISA claims, as had been urged by counsel for other executives who were involved in related actions but who did not have securities claims. After a focused review of the case, we advised against pursuing potential ERISA claims since we concluded that they were so precarious they might prejudice the legitimacy of the securities claims.  This advice allowed the securities case to move forward expeditiously, which was an important goal for our client. 

    You don’t need a Wall Street goliath to get the job done.

  • Quick action resulted in a substantial recovery for a large financial institution.

    Our client asked for help after it had been defrauded by a mortgage bank and its closing agent in connection with warehousing loan advances used to fund residential mortgage loans. We acted quickly by filing a federal court action and obtaining orders of attachment and restraining orders against the mortgage bank, its principal and comptroller, as well as the closing agent. Our actions resulted in our client receiving multi-million dollar recoveries.  

    You don’t need a Wall Street goliath to get the job done.

  • Forensic expertise leads to global settlement and substantial recovery.

    Using our expertise in the forensic analysis of financial data, we discovered that our client’s loan funds had been diverted to finance the construction of a large, purportedly privately held development project.  When the developer attempted to sell its rights to this development project, so as to reap the profits obtained using the bank’s diverted funds, our practical solution prevented the transaction through litigation. This led to an advantageous global settlement and a substantial recovery by the bank in a highly complex and contentious matter.


    You don’t need a Wall Street goliath to get the job done.

  • European company avoids legal troubles in the U.S. with stock-based incentive plan.

    A publicly traded European client asked us to develop a stock-based incentive plan in the U.S. similar to the plan maintained for senior managers in their home country. The home country structure posed numerous issues under the Internal Revenue Code, the Employee Retirement Income Security Act (ERISA) and the federal securities laws. Through our creativity, we were able to successfully design a structure that avoided U.S. legal problems while providing benefits economically identical to those received by the European managers.

    You don’t need a Wall Street goliath to get the job done.

  • Emmet Marvin is a firm of courtroom-tested attorneys with decades of experience trying high-profile cases. We litigate in federal and state courts across the country, and before U.S. and international arbitration tribunals and administrative agencies. From our founder, Thomas Addis Emmet, to our former named partner, Franklin Delano Roosevelt, through today, we have always been known for our integrity, skill set, and credibility.

  • Judith Swartz is an associate attorney in the Litigation Group. She has experience representing corporate and individual clients in federal courts, state courts, and alternative dispute resolution forums throughout the country.