Legal Work Highlights

Obtained a complete defense award in a FINRA arbitration on behalf of a national broker-dealer in a claim arising out of the alleged delay in settling a prime broker trade of rights on the London Stock Exchange.  In addition to obtaining a defense award, the arbitrators awarded the client all of its defense fees on a contractual indemnification claim against a registered investment advisor who placed the trade.

Obtained a complete defense a defense award in a FINRA arbitration on behalf of a national broker-dealer in a claim arising from the Claimant’s active trading in a meme stock during the meme stock craze of 2021.

Represented a CEO and beneficiary in a trust contest concerning a successful family business.

Represented two siblings who are beneficiaries of their parent’s trust in an ongoing breach of fiduciary duty and trustee removal petition and related corporate governance disputes.

Defended a 13-day bench trial for a national insurance brokerage against unfair competition and misappropriation of trade secret claims brought by a competitor.  The court dismissed the trade secret case at the conclusion of the competitor’s case, and ultimately awarded the competitor damages representing fewer than 6 cents on the dollar of the amount requested in closing.

Prosecuted a breach of fiduciary duty and wrongful termination claims in trust-related litigation involving a 9-figure trust that owned a regional bank.

Defended a FINRA registered representative who was being investigated for alleged false statements on his Form U-4 and U-5.  The matter closed with no penalty, fine or censure.

Prosecuted a trust claim on behalf of two beneficiaries resulting in a temporary restraining order against the trustee who subsequently resigned after allegedly squandering $1.9 million of trust funds.

Obtained a defense award in a FINRA arbitration on behalf of a national broker-dealer in a claim arising from a public customer’s substantial investment in Fannie Mae and Freddie Mac preferred stock.  In addition to ruling in favor of the broker-dealer, the FINRA arbitration panel also recommended expungement of the claim from the professional records of the two licensed professionals named in the claim.

Litigated a multi-million dollar trust dispute on behalf of two young adult beneficiaries who alleged the trustee mismanaged trust investments and was refusing to pay school tuitions.  The case was resolved in a settlement for the beneficiaries that included the trustee’s resignation and replacement with a professional fiduciary.

As lead counsel, Gordon obtained a defense award in a AAA arbitration on behalf of one of the largest banks in the United States in a $3.7 million claim arising from allegations that the bank’s trust/investment management department had breached its fiduciary duty by over-concentrating an irrevocable trust’s multi-million investment portfolio in market linked structured notes and other risky investments.

As lead counsel, Gordon obtained a defense award on behalf of a broker-dealer in a FINRA arbitration in San Francisco arising from alleged losses from alleged mismanagement of a publicly traded municipal bond mutual fund. In addition to ruling in the client’s favor, the arbitration panel also recommended expungement of the claim from the professional records of the broker-dealer’s licensed employees, including the mutual fund’s manager.

As lead counsel, Gordon led a team that obtained a directed verdict/dismissal on behalf of a Wall Street firm in a FINRA arbitration mass action in San Francisco arising from a failed investment in a high-tech Silicon Valley start-up.

Law School

University of San Francisco School of Law, J.D., 1991

Undergraduate School

St. Mary’s College, B.A., 1988

Gordon is licensed to practice in the following state(s):

California

Local & National Recognition

Super Lawyers, Securities Litigation, 2007 – 2023

Best Lawyers, Product Liability Litigation, 2012 – 2023

Professional Affiliations & Memberships

California State Bar Association

SIFMA Compliance & Legal Society

Contra Costa Bar Association

Civic & Charitable Organizations

Advisory board of Santa Maria Catholic Church in Orinda

Advisory board of St. Perpetua School in Lafayette

Advisory board of Big Brothers/Big Sisters of the Oakland-East Bay

Gordon was invited to speak at the following events:

“Communications with the Public for Broker-Dealers,” National Society of Compliance Professionals, San Francisco, California, March 2014.

“Arbitration Practitioners Workshop: Strategies from the Front Lines” Securities Industry & Financial Markets Association (SIFMA) Law & Compliance Annual Seminar, Phoenix, Arizona, March 2013.

“Complex Products: Appropriate Cautions and Considerations,” National Association of Compliance Professionals, Chicago, Illinois, April 2012.

“Arbitration Practitioners Workshop: Strategies from the Front Lines,” SIFMA Law & Compliance Annual Seminar, Miami, Florida, March 2012.

“The New Fiduciary Standard,” American Conference Institute, New York, New York, March 2011.

“Arbitration in the Current Environment,” SIFMA Law & Compliance Annual Seminar, Phoenix, Arizona, March 2011.