Stephen has a broad corporate transactional and commercial litigation practice. He also serves as outside general counsel to companies in a wide variety of industries.
Stephen handles corporate transactional matters for his private company and entrepreneur clients, from start-up through maturity. He handles their formations, mergers and acquisitions, joint ventures, and other contracts. He negotiates on behalf of his clients, drafts their agreements, and advises on issues arising in connection with their day-to-day operations.
A veteran litigator and courtroom lawyer, Stephen has litigated significant cases on behalf of his corporate and individual clients in federal and state courts throughout the United States. He handles bench and jury trials and is also an accomplished appellate attorney. He also represents his clients in arbitrations, mediation, and administrative proceedings before government agencies.
Stephen’s practice spans industries. He has broad experience in a wide variety of matters, including private company disputes and “business divorces;” unfair competition, fraud, and business torts; restrictive covenant and employment disputes; claims involving corporate governance, officers, and directors; publicly traded and privately sold securities; financial instruments and banking issues; real estate and construction projects; and breach of contract disputes of all types.
Stephen is known by his clients and peers for his practical mindset and creativity. He is rated AV® Preeminent™ by Martindale-Hubbell and is a member of the Theodore Roosevelt Inn of Court, a society of attorneys, law professors, and judges in New York. Outside his legal practice, Stephen is a sought-after author, speaker, and educator. He regularly publishes on legal and business-related subjects in journals nationwide. He also presents continuing legal education courses to fellow attorneys, business owners, and executives. He serves in multiple leadership roles in both the American Bar Association and New York State Bar Association.
Stephen is also active in nonprofit and civic work. He is a director of and outside general counsel to a New York nonprofit and is involved both in national and local organizations
EDUCATION
- Columbia Law School
Juris Doctor, 1993
-
- Harlan Fiske Stone Scholar
- Journal of Law and Social Problems
- University of Pennsylvania
B.A., Philosophy, 1989, summa cum laude, Phi Beta Kappa
Activities & Affiliations
- American Bar Association
- Member, National Conference of Lawyers and Certified Public Accountants
- Co-Chair, Securities Litigation Subcommittee
- Practice Points Editor, Commercial & Business Litigation Committee
- Co-Chair, Alternative Dispute Resolution Subcommittee (2018-2019)
- New York State Bar Association
- Co-Chair, Corporate Counsel Litigation Committee
- Chair, Business Organizations Law Committee
- Member, NYSBA Task Force on COVID-19 Immunity and Liability (Oct. 2020 – May 2022)
- Co-Chair, Committee on Federal Judiciary ( Jan. 2019 – May. 2022)
- Financial Poise
- Faculty Member
- The New York Bar Foundation
- Fellow
Honors
- AV® Preeminent™ rated by Martindale-Hubbell
- Theodore Roosevelt American Inn of Court, Member
Bar & Court Admissions
- New York
- U.S. District Courts for the Southern and Eastern Districts of New York; District of New Jersey; U.S. Court of Appeals for the Second, Third and Eighth Circuits
RECENT PUBLICATIONS
- Writing Effectively as a Litigator, American Bar Association, Commercial & Business Litigation Committee (Apr. 2022)
- Fiduciary Duty Claims Involving Investment Advisers and Other Financial Professionals,
American Bar Association, chapter in reference guide, Litigating Fiduciary Claims (Feb. 2022) - Averting a Business Divorce: Lessons from the Pandemic, American Bar Association, Commercial & Business Litigation Committee (Nov. 2021)
- Cross-Border Arbitration: A Beneficial Alternative To Resolving International Commercial Disputes, American
Arbitration Association, Dispute Resolution Journal (Fall Ed. 2020) - Restrictive Covenants In Employment and Related Contracts, American Bar Association, Commercial & Business
Litigation Committee (Feb. 2019) - Best Practices When Using Term Sheets, Letters of Intent or Memoranda of Understanding in Commercial Finance
Transactions, The Secured Lender (Oct. 2018) - Protecting Venture Capital Firms Against Securities Litigation, American Bar Association, Securities Litigation
Journal (Aug. 2018) - Navigating Federal and State Law in a NY Arbitration, New York Law Journal (Aug. 2018)
- Enforcing Preliminary Agreements Under New York Federal Law, New York Law Journal (Jan. 2018)
RECENT SPEAKING ENGAGEMENTS
- How to Succeed as In-House Counsel, Moderator, New York State Bar Association, Corporate Counsel Committee (Feb. 2023)
- Post-Closing Issues: Integration & Potential Buyer/Seller Disputes, Faculty, WestLegal Ed., CLE (Nov. 2022)
- Advice for ABA Editors, American Bar Association, Panelist, Fall Leadership Conference (Oct. 2022)
- Enforcement, Post Judgment, Proceedings and Collections, Faculty, WestLegal Ed., CLE (Nov. 2022)
- Resolving Shareholder Disputes, Faculty, WestLegal Ed., CLE (Jun. 2022)
- Lessons Learned Going In-House, Moderator, American Bar Association, (Jan. 2022)
- Thinking Like a Lawyer and a Business Executive, Moderator, American Bar Association, Roundtable (Oct. 2021)
- Appellate Practice 101, Faculty, WestLegal Ed., CLE (Oct. 2021)
- Anatomy Of A Trial, Faculty, WestLegal Ed., CLE (Sept. 2021)
- When Preliminary Agreements Are Enforceable: Best Practices For Commercial Transactions, Speaker, New York State Bar Association, CLE (Jun. 2020)
- Arbitration – Best Practices, Hot Topics and Insights, Moderator, American Bar Association (Oct. 2019)
- Conducting A Commercial Arbitration In New York, Speaker, Nassau County Bar Association, CLE (Feb. 2019)
REPRESENTATIVE MATTERS AND CASES
Lead attorney for food company client in joint venture with celebrity music artist; negotiated joint venture, licensing, and intellectual property agreements.
Green Growers Tech. All. LLC v Titan Bioplastics LLC et al. (N.Y. Sup. Ct. 2022) (Defended action asserting claims for forfeiture, attachment, and breach of fiduciary duty against bioengineering company; dismissal).
Faust v. CDS, LLC and CDS New York, LLC (N. J. Chan. Div. 2021) (Prosecuted combined direct and derivative action asserting claims for wrongful termination, fraud, waste, and conversion; favorable settlement on eve of trial).
Corporate and advisory work for Manhattan tourist establishment and owner.
Corporate transactional and employment work for material engineering company.
H. Stern Jewelers, Inc. v. Int’l, LLC (N.Y. Sup. Ct. 2020) (Defended action asserting claims for fraud, mismanagement, and self-dealing against national airport retail company; favorable resolution).
Ackerson Builders LLC v. Vol S. Davis III et al. (N.Y. Sup. Ct. 2022) (Defended action involving construction defect and contract claims; full dismissal).
Donaldson Inters, Inc. v. F.J. Sciame Constr. Co., Inc., et al., (2d Dept. 2020) (Affirming judgment and awarding interest in construction dispute).
Wilmington Trust Company v. Florida First City Banks, Inc. (S.D.N.Y. 2019) (Defended bank against claims arising from alleged debenture defaults).
Prof. Security Broadband, Inc. v. D. Brent Franklin (E.D.N.Y. 2016) (Represented leading security company in concurrent litigation and arbitration against former officer for non-compete violations, unlawful disclosures,
and seeking share buyback; defended Board in related state action; favorable global settlement).
Cityfront Hotel Assocs. LP. v. Maya Systems, LLC (E.D.N.Y. 2016) and Maya Systems, LLC (N.Y. Sup. Ct. 2016) (Defended national furniture company against contract and manufacturing defect litigations; combined actions resolved in private arbitration; favorable result).
Bank of Comms., New York Branch v. Ocean Develop America, Inc., et al. (S.D.N.Y. 2016) (Represented bank in fraudulent conveyance action; plaintiff’s judgment).
Chen v. Sun, et al., (S.D.N.Y. 2015) (Defended action for enforcement of foreign money judgment against clients; full dismissal).
70 West 45th Street Holding v. Waterscape Resort LLC. (N.Y. Sup. Ct. 2014) (Represented financial company in dispute involving development of hotel and restaurant; release of escrow).
PCCP Capital II, LLC v. HNA Prop. Holdings LLC (N.Y. Sup. Ct. 2013) (Represented investment company in dispute involving financing of Manhattan project; favorable result).
In re Medical Capital Holdings Corp. Secs. Litigation (C.D. Cal., MDL No. 2145, 2008) (Prosecuted consolidated multi-district class action asserting Securities Act violations in sale of $2 billion of privately placed collateralized notes; firm team lead member).
In re Insurance Brokerage Antitrust Litigation, (D. N.J., MDL No. 1663, 2004) (Prosecuted consolidated multi-district class action involving the commercial insurance industry asserting Sherman Act, RICO, and state claims; firm team lead member).
Cayuga Indian Nation of New York v. Village of Union Springs, et al. (N.D.N.Y. 2004) (Represented Indian tribe in development dispute; summary judgment for client).
A&A Assocs. v. Olympic Plumb. & Heating Corp., et. al. (2d Dept. 2003) (Defended unfair competition action; affirming dismissal).
Smith v. S&S Dundalk Engin. Works, Ltd., et al., (D. N.J. 2001) (Defended declaratory judgment coverage action against insurer; full dismissal).
Stephen 负责广泛的公司交易和商业诉讼业务，目前担任不同行业公司的外部总法律顾问。
Stephen 为私人公司和企业家客户处理从公司初创到成熟的各种交易事务，包括公司组建、并购、合资及其他类型合同事宜。他代表客户进行谈判，起草协议，就客户日常运营相关问题提供建议。
他是一名资深的诉讼律师和出庭律师，曾代表公司和个人客户在全美各地联邦法院和州法院处理重大诉讼案件。此外，他负责法官审判和陪审团审判，也是一名卓有成就的上诉律师。他还曾代表客户处理政府机构的仲裁、调解和行政诉讼。
Stephen 业务经验丰富，涉足多个行业，经办的案件类型广泛，包括：私人公司纠纷和“商业分割”，不正当竞争、欺诈和商业侵权，限制性契约和雇佣纠纷，公司治理、管理人员和董事相关的索赔，公开交易和私售证券，金融工具和银行相关案件，房地产和建筑项目以及各类违约纠纷。
凭借其敦本务实且别出新意的思维方式，Stephen赢得了客户和同行的广泛赞誉，获颁了 Martindale-Hubbell 的 AV® Preeminent™ 评级，并加入了由纽约律师、法学教授和法官组成的 Theodore Roosevelt Inn of Court 组织。除了投身于法律外，他还是一位广受欢迎的作家、演讲家和教育家。他定期在全国期刊中发表法律和商业相关主题的文章，还为其他律师、企业主及高管讲授法律相关的继续教育课程。同时，他还在美国律师协会和纽约州律师协会担任多项领导职务。
Stephen 积极参与非盈利组织和公民活动，现任纽约一家非营利组织的董事兼外部总法律顾问，同时积极参与国家和地方相关组织。
教育背景
哥伦比亚法学院
法学博士，1993 年
- Harlan Fiske Stone 学者
- 法律与社会问题期刊
- 宾夕法尼亚大学
哲学文学士，1989 年，皮贝塔卡帕学会荣誉学生
参与活动和组织 - 美国律师协会
- 全国律师和注册会计师会议会员 /li>
- 证券诉讼小组委员会联席主席/li>
- 《实践要点》编辑，商业诉讼委员会/li>
- 替代性争议解决小组委员会联合主席（2018-2019 年）/li>
- 纽约州律师协会
- 公司法律顾问诉讼委员会联席主席
- 商业组织法委员会主席
- 纽约州律师协会新冠疫情豁免和责任工作组成员（2020 年 10 月 – 2022 年 5 月）
- 联邦司法委员会联合主席（2019 年 1 月 – 2022 年 5 月）
- Financial Poise
- 研究成员
- 纽约律师基金会
- 研究员
荣誉
- 研究员
- Martindale-Hubbell 颁发AV® Preeminent™ 评级
- Theodore Roosevelt American Inn of Court 成员
律师执业资格和法院出庭资格 - 纽约州
- 美国纽约南区和东区地方法院；新泽西地区地方法院；美国第二、第三和第八巡回上诉法院
更多内容 (Stephen Brodsky) 第 2 页
代理实绩
-
- 协助一家纽约报税公司处理收购事宜。
- 监督一家材料工程公司的公司治理和雇佣相关事宜。
- 针对一家在多州从事业务的办公设备公司做出的各种错误行为向新泽西州法院提起直接诉讼和间接诉讼，包括非法解雇、违反信托义务、采购工作未能实现客户利益等。在庭审前夕顺利达成和解。
- 为一家机场零售领域的会员制有限责任公司提供辩护，应对纽约政府对其管理层涉嫌自我交易的一项诉讼。经谈判后获得了对公司有利的诉讼撤销。
- 处理某工程公司大股东购买小股东权益的事宜，以及相关的雇佣合同。
- 代表某行业领先的安保公司，针对前高管违反商业秘密义务和其他不当行为，向联邦提起诉讼和仲裁。为针对公司和董事会的裁决提供协调辩护。案件最终得到圆满解决。
- 以合审律师的身份为中国第五大银行提供法律服务，该行的一名贷款人拖欠 500 万美元贷款并以欺诈方式进行转让。最终获得了有利于银行的判决。
- 代表某美国原住民部落获得即决判决，允许部落使用纽约州管辖边界内的财产。
- 参与一项针对某国际度假村公司过失行为的诉讼，在持续一周的审判过程中担任第二法律顾问，获得辩护陪审团的裁决。
奖项与荣誉
- Martindale-Hubbell 颁发 AV® Preeminent™ 评级
- 纽约超级律师®（2022 年）
- Theodore Roosevelt American Inn of Court 成员
出版物
- 《诉讼律师有效写作的十个技巧》（第 1 部分），ABA 出版，由合伙人 Stephen Brodsky 撰写。 阅读全文
- 《投资顾问和其他金融专业人士相关的信托责任索赔》，由美国律师协会分会合伙人 Stephen Brodsky 撰写，主标题为“诉讼信托索赔”，2022 年 2 月 阅读全文
- 《规避商业分割：疫情的经验教训》，由 ABA 发表于 2021 年 11 月 9 日 文章链接
- 《后疫情世界的商业：生存与繁荣》，长岛商业新闻，2020 年 11 月 27 日
- 《跨境仲裁：解决国际商业争议的有益替代方案》，美国仲裁协会，争议解决期刊，2020 年秋季
- 《雇佣和相关合同中的限制性契约：您应该了解的主要注意事项》，ABA《商业和企业诉讼实务要点》，2019 年 2 月 9 日
- 《在商业金融交易中使用条款清单、意向书或谅解备忘录时的最佳实践》，TSL Express，2018 年 10 月 30 日
- 《保护风险投资公司免受证券诉讼》，ABA《证券诉讼期刊》，2018 年 8 月 25 日
- 《纽约仲裁中的联邦和州法律导航》，《纽约法律期刊》，2018 年 8 月 3 日
- 《根据纽约联邦法律执行初步协议》，《纽约法律期刊》，2018 年 1 月 5 日
演讲活动
- “交割后问题：整合和潜在的买家/卖家纠纷”- 小组成员和研究成员，由 Financial Poise 和 WestLegal Ed 联合举办的网络研讨会，2022 年 11 月 17 日
- “执法、判决后、程序和收款”，小组成员和研究成员，由 Financial Poise 和 WestLegal Ed 联合举办的网络研讨会，2022 年 11 月 8 日
- “解决股东纠纷”，小组成员和研究成员，由 Financial Poise 和 WestLegal Ed 联合举办的网络研讨会，2022 年 6 月 16 日
- Stephen Brodsky 与 CFP 的 Larry Heller 一起参加播客节目“Life Unlimited”。Stephen 讨论了受托人在金融服务领域的角色。如需观看完整节目，请点击此处。
- “内部经验”，圆桌会议主持人，美国律师协会 (ABA) 网络研讨会（参与者包括 Jacqueline Lee，Flynn Group 首席法律官；Nora Puckett，Google LLC 诉讼部董事总经理；Laura Altieri，Clif Bar and Co. 公司法律顾问），2022 年 1 月 18 日
- “执法：判决后程序和收款”，小组成员和研究成员，Financial Poise 和 WestLegal Ed，2021 年 11 月 2 日
- “像律师和企业高管一样思考”，圆桌会议主持人，美国律师协会 (ABA) 网络研讨会（参与者包括 Wendy Hufford，Chico’s FAS, Inc. 首席法律官；Sheila Murphy，MetLife 前高级首席法律官；Jeremy Reich，Unlimited Technology, Inc. 首席法律官），2021 年 10 月 27 日
- 《上诉实践 101》，小组成员和研究成员，Financial Poise 和 WestLegal Ed，2021 年 10 月 5 日
- 《审判解析》，小组成员和研究成员，Financial Poise 和 WestLegal Ed，2021 年 9 月 14 日
- “如果初步协议可执行：使用谅解备忘录、意向书和条款清单进行商业交易的最佳实践”，NYSBA CLE 网络研讨会课程主持人，2020 年 6 月 18 日
- “为什么需要退出计划——新冠疫情的教训”，网络研讨会课程主持人，2020 年 5 月 21 日
- “‘获胜’证词及其辩护：成功秘诀”，NYSBA CLE 网络研讨会，2020 年 5 月 14 日
- “新冠疫情时期的商业纠纷”，演讲人，会计师资源组，2020 年 4 月 28 日
- “解决股东纠纷”，小组成员和研究成员，Financial Poise 和 WestLegal Ed，2020 年 4 月 1 日
- “仲裁——仲裁员小组的最佳实践、热门话题和见解”，主持人，美国律师协会替代性争议解决小组委员会联合主席（仲裁员小组成员——Michael H. Dolinger法官（退休）、Theo Cheng 先生和 Patricia D. Galloway 博士），2019 年 10 月 8 日
- “为企业制定企业继任计划和谈判协议”，与 Blue Ocean Wealth Solutions 合作演讲，2019 年 6 月 26 日
- “在纽约进行商业仲裁：联邦法律、州法律和仲裁论坛规则的相互作用”，CLE 研讨会，拿索县律师协会，2019 年 2 月 28 日
- “限制性契约和保密协议：它们是什么，我们需要了解什么”，CLE 网络研讨会，The Knowledge Group，2018 年 9 月 26 日
社区关系
Stephen 是纽约州非营利组织 Autism Communities 的董事会成员兼外部总法律顾问，该组织为纽约州成年自闭症患者提供支持性住宅以及社交、教育和就业机会。他还是纽约州自闭症发声组织的志愿者宣传大使，与联邦和州政府代表合作，推进自闭症发声组织的政策举措和目标。
新闻报道
- 我们很荣幸地宣布：纽约州律师协会主席 Karson 已任命纽约州合伙人 Stephen Brodsky 为该协会新冠疫情豁免与责任工作组成员