Business Litigation

The Firm’s attorneys have litigated cases in federal and state courts addressing a wide array of subject matter areas including insurance and reinsurance contracts, joint venture agreements, non compete agreements, constitutional claims, employment law, securities laws, fraud, and actions asserting breach of fiduciary duties of agents and employees, fraudulent conveyance, federal taxation and bankruptcy.  They have represented clients in various procedural postures, including preliminary injunction proceedings, motions to compel arbitration and class actions.   O'Toole + O'Toole PLLC has represented clients in arbitrations arising within the securities and insurance industries, including customer disputes and disputes between companies and their employees or independent agents.

Securities Arbitrations

The Firm has represented broker-dealers, insurance companies, investment advisers, registered representatives, and other associated persons in myriad disputes, from the complex federal securities class actions involving millions of dollars to straightforward arbitrations with smaller amounts at stake.  The Firm has advised clients and managed cases filed in federal and state courts throughout the country, as well as in all the major arbitration forums, including FINRA.  The Firm also has considerable experience handling intra-industry disputes, including compensation disputes and broker transition cases.

Bankruptcy

Through representing various agencies and companies, the Firm’s attorneys have litigated a wide array of issues arising under Chapters 7, 11 and 13 of the Bankruptcy Code.  They have successfully litigated issues relating to proofs of claim, plans of reorganization, preferences, fraudulent conveyances, discharge and exclusions and exemptions defined under the Bankruptcy Code.   They have handled appeals from decisions rendered by the Bankruptcy Court and successfully withdrawn the reference from the Bankruptcy Court.

Investigations & Regulatory Compliance

The Firm’s attorneys have represented companies and individuals in connection with investigations being conducted by various law enforcement and regulatory agencies, including U.S. Attorney’s Offices, U.S. Department of Labor, SEC, FINRA, various state Attorneys General and securities departments.  They have investigated federal whistleblower allegations, including those relating to healthcare funds, federal grants and government contracts.

They have lead internal investigations addressing compliance and employment issues, including potential misconduct, and potential fraud.

Appeals

The Firm’s attorneys have represented clients in appeals pending in federal and state courts, including the United States Court of Appeals for the Second Circuit, the New York Appellate Division, the Connecticut Supreme Court, and the Massachusetts Appellate Court.  In addition, they have handled appeals taken from orders entered by the United States Bankruptcy Court and successfully moved to withdraw the reference.