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ID:
2
Section:
Headline: An Experienced, Effective and Respected Mediator
Body: <a style='display: block; float: left; width: 100px; border: 1px solid #ddd; border-radius: 8px; background-color: #eee; margin: 1em 1em 0 0; padding: 5px; text-align: center;' href='../testimonial/index'>Read Testimonials</a> Frank is an experienced, effective and respected Atlanta mediator who combines the abilities of a Georgia Super Lawyer® with the experience of an effective and widely-respected mediator. He is certified by and registered with the Georgia Office of Dispute Resolution as a neutral in the areas of arbitration, general mediation and early neutral evaluation. Advocates and their clients have used the following terms in describing Frank's work as a mediator: * The Best, Great, Professional, Respectful * Great disposition, Fair-minded, Even-keeled, Objective * Creative, Determined, Intelligent, Knowledgeable * Effective communicator, Empathetic, Good bedside manner * Persistent, Patient, Persuasive, Pragmatic * Prepared, Thorough, Hard-working Frank is a successful mediator who has mediated hundreds of cases in over twenty-three different states and the District of Columbia. Most have been commercial and business cases, and 90% have settled. Many have involved complex, multi-party disputes, the largest of which involved over 200 parties. Frank is one of the leading and most experienced financial, securities and FINRA mediators in the country, and has mediated securities and investment Ponzi schemes involving millions of dollars of losses. He employs evaluative, facilitative and transformative techniques to aid the mediation process and actively uses evaluative techniques and reality testing approaches to advance the process if appropriate and the parties request. [Click here](../testimonial/index) to see what others say about Frank’s work as a mediator. Frank also provides mediation coaching prior to an actual mediation to help a party and his or her counsel prepare for the mediation. He will familiarize them with the mediation process, explain to them what they can and cannot expect to happen during a mediation, prepare them for possible developments during the mediation and how to respond to them, and explain the role of the mediator and how to interact with the mediator. This approach enables parties and their counsel to more effectively participate in mediation and increases the likelihood that that the mediation will be positive and successful. Because Frank has represented parties in many mediations as their counsel and because of his extensive mediation experience as the mediator in hundreds of other mediations, he is uniquely qualified to provide sound mediation coaching to parties and their counsel. Frank is a member of many Georgia state judicial panels and has been inducted into a number of recognized national and international mediation groups such as: * The [International Institute for Conflict Prevention & Resolution (CPR)](http://www.cpradr.org) * The [American College of Civil Trial Mediators (ACCTM)](www.acctm.org) * The [Financial Industry Regulatory Authority (FINRA)](http://www.finra.org) * The International Chamber of Commerce through its United States affiliate, the [United States Council for International Business](http://www.uscib.org) * The [American Health Lawyers Association](http://www.healthlawyers.com) * The [London Court of International Arbitration](http://www.lcia.org) * The [National Futures Association](http://www.nfa.futures.org) * The [National Academy of Distinguished Neutrals](http://www.nadn.org) * The [Georgia Academy of Mediators & Arbitrators](http://www.georgiamediators.org) * The [International Mediation Institute](http://www.imimediation.org) Frank’s complete resume can be viewed by clicking on the button at the top right of this page. To reserve his services as a mediator and view his calendar and availability, go to [www.georgiamediators.org](http://www.georgiamediators.org), click on the blue box entitled “Advanced ADR Search,” then enter the last name “Lightmas” and click on the calendar icon at the right under “View Calendar”. Interested counsel or parties are always welcome to call Frank at his office (404) 876-3335 or cell (404) 274-1080 or email him at [franklightmas@mindspring.com](mailto:franklightmas@mindspring.com).
Section:
Headline: An Experienced, Effective and Respected Mediator
Body: <a style='display: block; float: left; width: 100px; border: 1px solid #ddd; border-radius: 8px; background-color: #eee; margin: 1em 1em 0 0; padding: 5px; text-align: center;' href='../testimonial/index'>Read Testimonials</a> Frank is an experienced, effective and respected Atlanta mediator who combines the abilities of a Georgia Super Lawyer® with the experience of an effective and widely-respected mediator. He is certified by and registered with the Georgia Office of Dispute Resolution as a neutral in the areas of arbitration, general mediation and early neutral evaluation. Advocates and their clients have used the following terms in describing Frank's work as a mediator: * The Best, Great, Professional, Respectful * Great disposition, Fair-minded, Even-keeled, Objective * Creative, Determined, Intelligent, Knowledgeable * Effective communicator, Empathetic, Good bedside manner * Persistent, Patient, Persuasive, Pragmatic * Prepared, Thorough, Hard-working Frank is a successful mediator who has mediated hundreds of cases in over twenty-three different states and the District of Columbia. Most have been commercial and business cases, and 90% have settled. Many have involved complex, multi-party disputes, the largest of which involved over 200 parties. Frank is one of the leading and most experienced financial, securities and FINRA mediators in the country, and has mediated securities and investment Ponzi schemes involving millions of dollars of losses. He employs evaluative, facilitative and transformative techniques to aid the mediation process and actively uses evaluative techniques and reality testing approaches to advance the process if appropriate and the parties request. [Click here](../testimonial/index) to see what others say about Frank’s work as a mediator. Frank also provides mediation coaching prior to an actual mediation to help a party and his or her counsel prepare for the mediation. He will familiarize them with the mediation process, explain to them what they can and cannot expect to happen during a mediation, prepare them for possible developments during the mediation and how to respond to them, and explain the role of the mediator and how to interact with the mediator. This approach enables parties and their counsel to more effectively participate in mediation and increases the likelihood that that the mediation will be positive and successful. Because Frank has represented parties in many mediations as their counsel and because of his extensive mediation experience as the mediator in hundreds of other mediations, he is uniquely qualified to provide sound mediation coaching to parties and their counsel. Frank is a member of many Georgia state judicial panels and has been inducted into a number of recognized national and international mediation groups such as: * The [International Institute for Conflict Prevention & Resolution (CPR)](http://www.cpradr.org) * The [American College of Civil Trial Mediators (ACCTM)](www.acctm.org) * The [Financial Industry Regulatory Authority (FINRA)](http://www.finra.org) * The International Chamber of Commerce through its United States affiliate, the [United States Council for International Business](http://www.uscib.org) * The [American Health Lawyers Association](http://www.healthlawyers.com) * The [London Court of International Arbitration](http://www.lcia.org) * The [National Futures Association](http://www.nfa.futures.org) * The [National Academy of Distinguished Neutrals](http://www.nadn.org) * The [Georgia Academy of Mediators & Arbitrators](http://www.georgiamediators.org) * The [International Mediation Institute](http://www.imimediation.org) Frank’s complete resume can be viewed by clicking on the button at the top right of this page. To reserve his services as a mediator and view his calendar and availability, go to [www.georgiamediators.org](http://www.georgiamediators.org), click on the blue box entitled “Advanced ADR Search,” then enter the last name “Lightmas” and click on the calendar icon at the right under “View Calendar”. Interested counsel or parties are always welcome to call Frank at his office (404) 876-3335 or cell (404) 274-1080 or email him at [franklightmas@mindspring.com](mailto:franklightmas@mindspring.com).
ID:
3
Section:
Headline: An Experienced, Effective and Respected Arbitrator
Body: Frank is an experienced, effective and respected Atlanta arbitrator who combines the abilities of a Georgia Super Lawyer® with the experience of a veteran and widely respected arbitrator. He is certified by and registered with the Georgia Office of Dispute Resolution as a neutral in the areas of arbitration, general mediation and early neutral evaluation. Frank has served as an arbitrator for over twenty-five years for parties who have privately retained him and as a member of various arbitration neutral panels. These arbitrations have included single neutral arbitrations, single neutral arbitrations decided on the basis of written submissions only, 3-neutral panels and 5-neutral panels. On all but a few of these, he has served as chairperson. As the chairperson, he has conducted and participated in pre-hearing conferences, issued discovery, non-dispositive and dispositive rulings, and held arbitration hearings that have resulted in final awards being issued. The longest of these arbitration hearings lasted over twenty sessions spread over several weeks. Frank is a member of many Georgia state judicial panels and has been accepted into a number of recognized national and international arbitration groups such as: * The [International Institute for Conflict Prevention & Resolution (CPR)](http://www.cpradr.org) * The [Financial Industry Regulatory Authority (FINRA)](http://www.finra.org) * The [Chartered Institute of Arbitrators (CIArb)](http://www.ciarb.org) * The [London Court of International Arbitration](http://www.lcia.org) * The International Chamber of Commerce through its United States affiliate, the [United States Council for International Business](http://www.uscib.org) * The [American Health Lawyers Association](http://www.healthlawyers.org) * The [National Futures Association](http://www.nfa.futures.org) * The [National Academy of Distinguished Neutrals](http://www.nadn.org) * The [Georgia Academy of Mediators & Arbitrators](http://www.georgiamediators.org) * The [Atlanta International Arbitration Society](http://arbitrateatlanta.org/the-atlanta-international-arbitration-society/) Frank’s complete resume can be viewed by clicking on the button at the top right of this page. To reserve his services as an arbitrator and view his calendar and availability, go to [www.georgiamediators.org](http://www.georgiamediators.org), click on the blue box entitled “Advanced ADR Search,” then enter the last name “Lightmas” and click on the calendar icon at the right under “View Calendar”. Interested counsel or parties are always welcome to call Frank at his office (404) 876-3335 or cell (404) 274-1080 or email him at [franklightmas@mindspring.com](mailto:franklightmas@mindspring.com).
Section:
Headline: An Experienced, Effective and Respected Arbitrator
Body: Frank is an experienced, effective and respected Atlanta arbitrator who combines the abilities of a Georgia Super Lawyer® with the experience of a veteran and widely respected arbitrator. He is certified by and registered with the Georgia Office of Dispute Resolution as a neutral in the areas of arbitration, general mediation and early neutral evaluation. Frank has served as an arbitrator for over twenty-five years for parties who have privately retained him and as a member of various arbitration neutral panels. These arbitrations have included single neutral arbitrations, single neutral arbitrations decided on the basis of written submissions only, 3-neutral panels and 5-neutral panels. On all but a few of these, he has served as chairperson. As the chairperson, he has conducted and participated in pre-hearing conferences, issued discovery, non-dispositive and dispositive rulings, and held arbitration hearings that have resulted in final awards being issued. The longest of these arbitration hearings lasted over twenty sessions spread over several weeks. Frank is a member of many Georgia state judicial panels and has been accepted into a number of recognized national and international arbitration groups such as: * The [International Institute for Conflict Prevention & Resolution (CPR)](http://www.cpradr.org) * The [Financial Industry Regulatory Authority (FINRA)](http://www.finra.org) * The [Chartered Institute of Arbitrators (CIArb)](http://www.ciarb.org) * The [London Court of International Arbitration](http://www.lcia.org) * The International Chamber of Commerce through its United States affiliate, the [United States Council for International Business](http://www.uscib.org) * The [American Health Lawyers Association](http://www.healthlawyers.org) * The [National Futures Association](http://www.nfa.futures.org) * The [National Academy of Distinguished Neutrals](http://www.nadn.org) * The [Georgia Academy of Mediators & Arbitrators](http://www.georgiamediators.org) * The [Atlanta International Arbitration Society](http://arbitrateatlanta.org/the-atlanta-international-arbitration-society/) Frank’s complete resume can be viewed by clicking on the button at the top right of this page. To reserve his services as an arbitrator and view his calendar and availability, go to [www.georgiamediators.org](http://www.georgiamediators.org), click on the blue box entitled “Advanced ADR Search,” then enter the last name “Lightmas” and click on the calendar icon at the right under “View Calendar”. Interested counsel or parties are always welcome to call Frank at his office (404) 876-3335 or cell (404) 274-1080 or email him at [franklightmas@mindspring.com](mailto:franklightmas@mindspring.com).
ID:
4
Section:
Headline: An Experienced, Effective and Respected Litigator
Body: ## Business And Commercial Litigation Named a Georgia Super Lawyer®, Frank has had a broad business and commercial litigation practice for more than 35 years. He has argued cases before federal and state appellate courts, tried cases to final verdict in both jury and non-jury cases in federal and state courts, litigated cases before many different arbitration tribunals, represented clients in contested hearings before federal and state agencies and regulatory bodies, represented clients before professional licensing, enforcement, regulatory and disciplinary boards and advised clients on how to avoid costly and time consuming litigation. [Learn More »](6) ## Securities And Financial Services Litigation And Arbitration For more than 35 years, Frank Lightmas has represented parties in securities cases in federal and state courts, before arbitration tribunals such as FINRA, the New York Stock Exchange, the Municipal Securities Rulemaking Board and the Chicago Board Options Exchange, and before disciplinary, regulatory and administrative boards and tribunals such as the Securities and Exchange Commission, FINRA, the Chicago Board Options Exchange and state regulatory bodies. These cases have involved all aspects of securities law and products. Frank also has provided expert witness testimony in a legal malpractice case involving securities arbitration and served as consulting attorney for other attorneys who have malpractice claims arising out of securities litigation and arbitration. [Learn More »](7) ## Professional Liability Frank has represented accountants, attorneys and other professionals in professional liability claims for more than 35 years and also served as plaintiff’s counsel in professional liability actions against professionals. Frank has also represented accountants, attorneys and other professionals in licensing, disciplinary and ethics proceedings before state and professional licensing boards and acted as supervisory, coverage and consulting counsel for insurance companies in matters in which professionals insured by them have had malpractice and other professional liability claims brought against them. [Learn More »](8)
Section:
Headline: An Experienced, Effective and Respected Litigator
Body: ## Business And Commercial Litigation Named a Georgia Super Lawyer®, Frank has had a broad business and commercial litigation practice for more than 35 years. He has argued cases before federal and state appellate courts, tried cases to final verdict in both jury and non-jury cases in federal and state courts, litigated cases before many different arbitration tribunals, represented clients in contested hearings before federal and state agencies and regulatory bodies, represented clients before professional licensing, enforcement, regulatory and disciplinary boards and advised clients on how to avoid costly and time consuming litigation. [Learn More »](6) ## Securities And Financial Services Litigation And Arbitration For more than 35 years, Frank Lightmas has represented parties in securities cases in federal and state courts, before arbitration tribunals such as FINRA, the New York Stock Exchange, the Municipal Securities Rulemaking Board and the Chicago Board Options Exchange, and before disciplinary, regulatory and administrative boards and tribunals such as the Securities and Exchange Commission, FINRA, the Chicago Board Options Exchange and state regulatory bodies. These cases have involved all aspects of securities law and products. Frank also has provided expert witness testimony in a legal malpractice case involving securities arbitration and served as consulting attorney for other attorneys who have malpractice claims arising out of securities litigation and arbitration. [Learn More »](7) ## Professional Liability Frank has represented accountants, attorneys and other professionals in professional liability claims for more than 35 years and also served as plaintiff’s counsel in professional liability actions against professionals. Frank has also represented accountants, attorneys and other professionals in licensing, disciplinary and ethics proceedings before state and professional licensing boards and acted as supervisory, coverage and consulting counsel for insurance companies in matters in which professionals insured by them have had malpractice and other professional liability claims brought against them. [Learn More »](8)
ID:
5
Section:
Headline: An Experienced, Effective and Respected Neutral Providing Other ADR Services
Body: Frank is an experienced, effective and respected Atlanta neutral who combines the abilities of a Georgia Super Lawyer® with the experience of an effective and widely respected mediator, arbitrator and neutral. In addition to being a successful mediator and serving as an arbitrator for over twenty-five years for parties who have privately retained him and as a member of various arbitration neutral panels, Frank has also served as a: * A neutral in mock trials and arbitrations to help parties and their counsel analyze their case in advance of a mediation or an actual trial/arbitration * Early neutral evaluator on cases * Special master * Discovery referee * Hearing officer * Member of dispute resolution boards Frank’s complete resume can be viewed by clicking on the button at the top right of this page. To reserve his services as a neutral and view his calendar and availability, go to [www.georgiamediators.org](http://www.georgiamediators.org), click on the blue box entitled “Advanced ADR Search,” then enter the last name “Lightmas” and click on the calendar icon at the right under “View Calendar”. Interested counsel or parties are always welcome to call Frank at his office (404) 876-3335 or cell (404) 274-1080 or email him at [franklightmas@mindspring.com](mailto:franklightmas@mindspring.com).
Section:
Headline: An Experienced, Effective and Respected Neutral Providing Other ADR Services
Body: Frank is an experienced, effective and respected Atlanta neutral who combines the abilities of a Georgia Super Lawyer® with the experience of an effective and widely respected mediator, arbitrator and neutral. In addition to being a successful mediator and serving as an arbitrator for over twenty-five years for parties who have privately retained him and as a member of various arbitration neutral panels, Frank has also served as a: * A neutral in mock trials and arbitrations to help parties and their counsel analyze their case in advance of a mediation or an actual trial/arbitration * Early neutral evaluator on cases * Special master * Discovery referee * Hearing officer * Member of dispute resolution boards Frank’s complete resume can be viewed by clicking on the button at the top right of this page. To reserve his services as a neutral and view his calendar and availability, go to [www.georgiamediators.org](http://www.georgiamediators.org), click on the blue box entitled “Advanced ADR Search,” then enter the last name “Lightmas” and click on the calendar icon at the right under “View Calendar”. Interested counsel or parties are always welcome to call Frank at his office (404) 876-3335 or cell (404) 274-1080 or email him at [franklightmas@mindspring.com](mailto:franklightmas@mindspring.com).
ID:
6
Section:
Headline: An Experienced Business and Commercial Attorney Recognized as a Georgia Super Lawyer®
Body: Named a Georgia Super Lawyer®, Frank has had a broad business and commercial litigation practice for more than 35 years. He has: * Argued cases before federal and state appellate courts * Tried cases to final verdict in both jury and non-jury cases in federal and state courts * Litigated cases before many different arbitration tribunals (e.g., FINRA, the American Arbitration Association, the Chicago Board Options Exchange, The Municipal Securities Rulemaking Board) * Represented clients in contested hearings before federal and state agencies and regulatory bodies * Represented clients before professional licensing, enforcement, regulatory and disciplinary boards His cases have involved: * Contracts * Corporation, partnership, shareholder, joint venture, limited liability and other intra-company disputes * Securities and other financial fraud * Officers and directors liability * Professional liability and negligence * Employment agreements * Covenants not to compete or covenants not to solicit * Trade secrets * Breach of fiduciary duty claims * Tortious interference with contractual relationships * Negligence and other torts * Intellectual property disputes * Insurance and insurance coverage issues between insureds and insurance companies * Defamation * Real estate * Education * Employment * EEOC and Title VII claims involving allegations of racial and sexual discrimination * Banking and finance * Healthcare * Sports and entertainment * Environmental actions involving federal claims under CERCLA and state law claims * Franchise * Technology * Trusts/estates and probate * Transportation Frank’s complete resume can be viewed by clicking on the button at the top right of this page.
Section:
Headline: An Experienced Business and Commercial Attorney Recognized as a Georgia Super Lawyer®
Body: Named a Georgia Super Lawyer®, Frank has had a broad business and commercial litigation practice for more than 35 years. He has: * Argued cases before federal and state appellate courts * Tried cases to final verdict in both jury and non-jury cases in federal and state courts * Litigated cases before many different arbitration tribunals (e.g., FINRA, the American Arbitration Association, the Chicago Board Options Exchange, The Municipal Securities Rulemaking Board) * Represented clients in contested hearings before federal and state agencies and regulatory bodies * Represented clients before professional licensing, enforcement, regulatory and disciplinary boards His cases have involved: * Contracts * Corporation, partnership, shareholder, joint venture, limited liability and other intra-company disputes * Securities and other financial fraud * Officers and directors liability * Professional liability and negligence * Employment agreements * Covenants not to compete or covenants not to solicit * Trade secrets * Breach of fiduciary duty claims * Tortious interference with contractual relationships * Negligence and other torts * Intellectual property disputes * Insurance and insurance coverage issues between insureds and insurance companies * Defamation * Real estate * Education * Employment * EEOC and Title VII claims involving allegations of racial and sexual discrimination * Banking and finance * Healthcare * Sports and entertainment * Environmental actions involving federal claims under CERCLA and state law claims * Franchise * Technology * Trusts/estates and probate * Transportation Frank’s complete resume can be viewed by clicking on the button at the top right of this page.
ID:
7
Section:
Headline: An Experienced Securities and Financial Services Attorney Recognized as a Georgia Super Lawyer®
Body: For more than 35 years, Frank has represented parties in securities cases in federal and state courts, arbitration tribunals and disciplinary, regulatory and administrative boards and tribunals. These cases have involved all aspects of securities law and products such as: <table class='noBorder'> <tr> <td> <ul> <li>Stocks</li> <li>Bonds</li> <li>Mutual funds</li> <li>Variable and fixed annuities</li> <li>Derivatives</li> <li>REITS or real estate investment trusts</li> <li>Like kind exchanges</li> <li>Alternative investments</li> <li>Auction rate securities</li> <li>IPO’s</li> <li>Private placements</li> <li>Limited partnerships</li> </ul> </td> <td> <ul> <li>Private equity</li> <li>Futures and options</li> <li>Managed accounts</li> <li>Discretion and powers of attorney</li> <li>Over-concentrations</li> <li>Selling away</li> <li>Due diligence responsibilities of professionals</li> <li>Fraud</li> <li>Broker theft and misappropriation</li> <li>Breach of fiduciary duty</li> <li>Churning</li> <li>Unauthorized trading</li> </ul> </td> <td> <ul> <li>Ponzi schemes involving hundreds of claimants</li> <li>Failure to supervise</li> <li>Industry raiding</li> <li>Wrongful termination</li> <li>Defamation</li> <li>Racial and sexual discrimination</li> <li>Non-solicitation agreements</li> <li>Non-compete agreements</li> <li>Trade secrets</li> <li>Promissory notes</li> </ul> </td> </tr> </table> ## Securities Arbitration For more than 35 years, Frank has represented both claimants and respondents in arbitration proceedings before the American Arbitration Association, FINRA, the New York Stock Exchange, the Municipal Securities Rulemaking Board and the Chicago Board Options Exchange. He also defended FINRA itself in an action brought by a former broker/dealer who was previously sanctioned by FINRA. Because he is also a FINRA arbitrator and one of the leading securities mediators in the country, he has unique insights into these types of cases and how they are likely to be resolved by arbitrators. Representative matters and issues have included: * Representing individual and institutional customers in sales practice claims against brokers, supervisory personnel and broker/dealers alleging securities fraud, churning, unsuitability, unauthorized trading, breach of fiduciary duty, selling away, negligence and other causes of action * Defending individual brokers, supervisory personnel and broker/dealers against sales practice claims * Representing individual brokers and associated persons against broker/dealers in cases involving non-compete and non-solicitation agreements, defamation claims, trade secret claims, repayment of promissory notes, sexual discrimination claims * Representing broker/dealers in cases involving non-compete and non-solicitation agreements, defamation claims, trade secret claims, repayment of promissory notes, sexual discrimination claims and raiding claims * Representing individual brokers and associated persons in successfully obtaining expungement of customer claims from CRDs under both the former NASD rules and the current FINRA rules, including proceedings in which FINRA contested the expungement request ## Securities Litigation For more than 35 years, Frank also has represented both plaintiffs and defendants in securities cases in federal and state court. Representative matters and issues have included: * Representing investors and limited partners who successfully recovered on claims against promoters, general partners, controlling persons, accountants and attorneys arising out of investments in hotels and motels, energy, real estate, commercial office buildings, oil and gas properties and other investments * Representing investors who successfully recovered on federal and state securities registration violation claims * Representing bank shareholders in a proxy/tender offer fight * Defending officers and directors of a failed bank and bank holding company in multiple actions against claims of securities fraud, RICO violations and breach of fiduciary duty * Defending accountants in action for securities fraud arising out of cattle breeding tax shelters * Defending third-party provider of compliance consultation and verification services to investment manager who was later convicted of securities fraud and running a Ponzi scheme * Defending former trustees for breach of fiduciary duty arising out of investments made by ERISA plan * Defending accountants for securities fraud arising out of sale of municipal bonds * Defending general partners of a kaolin limited partnership for securities fraud brought by their co-general partners * Defending general partner of a hotel limited partnership for securities fraud * Defending officers and promoters of a business opportunity/franchise offering for securities registration violations * Defending promoters/co-partners of an aquaculture partnership for securities registration violations and securities fraud * Defending promoter who sold interests in cattle and their offspring for securities fraud and securities registration violations * Defending accountants for securities fraud arising out of the sale of businesses or interests in businesses * Defending group of shareholders in action brought by other shareholders for securities fraud * Defending seller of oil and gas leases for securities fraud * Defending buying shareholders against claims brought by sellers of securities alleging fraud in the sale of securities and selling shareholders against claims brought by buyers of securities alleging fraud in the sales transaction * Defending officers against derivative claims brought by shareholders * Representing a dissenting shareholder in a dissenters right action ## Securities Enforcement and Regulatory Matters Frank also has represented defendants, respondents, targets and witnesses in enforcement, contempt, regulatory and licensing actions brought by the Securities and Exchange Commission, FINRA, the Chicago Board Options Exchange, and state regulatory and licensing agencies against companies, brokers, officers, directors, registered options principals, financial and operations principals and others. Representative matters have included: * Defending a former officer and director of a public company against contempt charges and imprisonment sought by the SEC for the failure to pay an insider trading judgment * Defending the former CEO of bank and the presidents of two subsidiaries in an SEC enforcement action from charges of fraud * Defending shareholders from SEC charges of insider trading * Defending officers of a public company from SEC charges of “tipping” * Defending investor from SEC charges of “tipping” * Defending the CEO of a public company from SEC charges alleging that false and misleading press releases were issued * Defending individual brokers against enforcement charges brought by FINRA arising out of sales practice complaints and alleged violations of FINRA rules seeking bans * Defending individual brokers against enforcement charges brought by various state securities commissioners arising out of sales practice complaints * Representing individual brokers and broker/dealers in responding to witnesses subpoenas issued by the SEC and FINRA and in testifying before the SEC and FINRA * Assisting individual brokers and broker/dealers in preparing responses to the SEC, FINRA and state securities commissioners arising out of informal inquiries * Assisting individual brokers in preparing responses to internal broker/dealer compliance personnel arising out of inquiries received from the SEC, FINRA, CBOE and state securities commissioners * Assisting individual brokers arising out of state registration issues ## Expert Witness and Consulting Counsel Frank also has provided expert witness testimony with respect to issues arising out of FINRA arbitrations, issues involving due diligence issues involving an attorney’s disclosure obligations with respect to private placement memoranda. He also has served as consulting attorney for other attorneys who have claims arising out of securities litigation and arbitration. Frank’s complete resume can be viewed by clicking on the button at the top right of this page.
Section:
Headline: An Experienced Securities and Financial Services Attorney Recognized as a Georgia Super Lawyer®
Body: For more than 35 years, Frank has represented parties in securities cases in federal and state courts, arbitration tribunals and disciplinary, regulatory and administrative boards and tribunals. These cases have involved all aspects of securities law and products such as: <table class='noBorder'> <tr> <td> <ul> <li>Stocks</li> <li>Bonds</li> <li>Mutual funds</li> <li>Variable and fixed annuities</li> <li>Derivatives</li> <li>REITS or real estate investment trusts</li> <li>Like kind exchanges</li> <li>Alternative investments</li> <li>Auction rate securities</li> <li>IPO’s</li> <li>Private placements</li> <li>Limited partnerships</li> </ul> </td> <td> <ul> <li>Private equity</li> <li>Futures and options</li> <li>Managed accounts</li> <li>Discretion and powers of attorney</li> <li>Over-concentrations</li> <li>Selling away</li> <li>Due diligence responsibilities of professionals</li> <li>Fraud</li> <li>Broker theft and misappropriation</li> <li>Breach of fiduciary duty</li> <li>Churning</li> <li>Unauthorized trading</li> </ul> </td> <td> <ul> <li>Ponzi schemes involving hundreds of claimants</li> <li>Failure to supervise</li> <li>Industry raiding</li> <li>Wrongful termination</li> <li>Defamation</li> <li>Racial and sexual discrimination</li> <li>Non-solicitation agreements</li> <li>Non-compete agreements</li> <li>Trade secrets</li> <li>Promissory notes</li> </ul> </td> </tr> </table> ## Securities Arbitration For more than 35 years, Frank has represented both claimants and respondents in arbitration proceedings before the American Arbitration Association, FINRA, the New York Stock Exchange, the Municipal Securities Rulemaking Board and the Chicago Board Options Exchange. He also defended FINRA itself in an action brought by a former broker/dealer who was previously sanctioned by FINRA. Because he is also a FINRA arbitrator and one of the leading securities mediators in the country, he has unique insights into these types of cases and how they are likely to be resolved by arbitrators. Representative matters and issues have included: * Representing individual and institutional customers in sales practice claims against brokers, supervisory personnel and broker/dealers alleging securities fraud, churning, unsuitability, unauthorized trading, breach of fiduciary duty, selling away, negligence and other causes of action * Defending individual brokers, supervisory personnel and broker/dealers against sales practice claims * Representing individual brokers and associated persons against broker/dealers in cases involving non-compete and non-solicitation agreements, defamation claims, trade secret claims, repayment of promissory notes, sexual discrimination claims * Representing broker/dealers in cases involving non-compete and non-solicitation agreements, defamation claims, trade secret claims, repayment of promissory notes, sexual discrimination claims and raiding claims * Representing individual brokers and associated persons in successfully obtaining expungement of customer claims from CRDs under both the former NASD rules and the current FINRA rules, including proceedings in which FINRA contested the expungement request ## Securities Litigation For more than 35 years, Frank also has represented both plaintiffs and defendants in securities cases in federal and state court. Representative matters and issues have included: * Representing investors and limited partners who successfully recovered on claims against promoters, general partners, controlling persons, accountants and attorneys arising out of investments in hotels and motels, energy, real estate, commercial office buildings, oil and gas properties and other investments * Representing investors who successfully recovered on federal and state securities registration violation claims * Representing bank shareholders in a proxy/tender offer fight * Defending officers and directors of a failed bank and bank holding company in multiple actions against claims of securities fraud, RICO violations and breach of fiduciary duty * Defending accountants in action for securities fraud arising out of cattle breeding tax shelters * Defending third-party provider of compliance consultation and verification services to investment manager who was later convicted of securities fraud and running a Ponzi scheme * Defending former trustees for breach of fiduciary duty arising out of investments made by ERISA plan * Defending accountants for securities fraud arising out of sale of municipal bonds * Defending general partners of a kaolin limited partnership for securities fraud brought by their co-general partners * Defending general partner of a hotel limited partnership for securities fraud * Defending officers and promoters of a business opportunity/franchise offering for securities registration violations * Defending promoters/co-partners of an aquaculture partnership for securities registration violations and securities fraud * Defending promoter who sold interests in cattle and their offspring for securities fraud and securities registration violations * Defending accountants for securities fraud arising out of the sale of businesses or interests in businesses * Defending group of shareholders in action brought by other shareholders for securities fraud * Defending seller of oil and gas leases for securities fraud * Defending buying shareholders against claims brought by sellers of securities alleging fraud in the sale of securities and selling shareholders against claims brought by buyers of securities alleging fraud in the sales transaction * Defending officers against derivative claims brought by shareholders * Representing a dissenting shareholder in a dissenters right action ## Securities Enforcement and Regulatory Matters Frank also has represented defendants, respondents, targets and witnesses in enforcement, contempt, regulatory and licensing actions brought by the Securities and Exchange Commission, FINRA, the Chicago Board Options Exchange, and state regulatory and licensing agencies against companies, brokers, officers, directors, registered options principals, financial and operations principals and others. Representative matters have included: * Defending a former officer and director of a public company against contempt charges and imprisonment sought by the SEC for the failure to pay an insider trading judgment * Defending the former CEO of bank and the presidents of two subsidiaries in an SEC enforcement action from charges of fraud * Defending shareholders from SEC charges of insider trading * Defending officers of a public company from SEC charges of “tipping” * Defending investor from SEC charges of “tipping” * Defending the CEO of a public company from SEC charges alleging that false and misleading press releases were issued * Defending individual brokers against enforcement charges brought by FINRA arising out of sales practice complaints and alleged violations of FINRA rules seeking bans * Defending individual brokers against enforcement charges brought by various state securities commissioners arising out of sales practice complaints * Representing individual brokers and broker/dealers in responding to witnesses subpoenas issued by the SEC and FINRA and in testifying before the SEC and FINRA * Assisting individual brokers and broker/dealers in preparing responses to the SEC, FINRA and state securities commissioners arising out of informal inquiries * Assisting individual brokers in preparing responses to internal broker/dealer compliance personnel arising out of inquiries received from the SEC, FINRA, CBOE and state securities commissioners * Assisting individual brokers arising out of state registration issues ## Expert Witness and Consulting Counsel Frank also has provided expert witness testimony with respect to issues arising out of FINRA arbitrations, issues involving due diligence issues involving an attorney’s disclosure obligations with respect to private placement memoranda. He also has served as consulting attorney for other attorneys who have claims arising out of securities litigation and arbitration. Frank’s complete resume can be viewed by clicking on the button at the top right of this page.
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Headline: An Experienced Professional Liability Attorney Recognized as a Georgia Super Lawyer®
Body: Frank is an Atlanta malpractice and professional liability attorney who has represented accountants, attorneys and other professionals in professional liability claims for more than 35 years. He has represented parties suing accountants and served as defense counsel for accountants in claims arising out of: * Violations of the AICPA Code of Professional Conduct * Tax advice and tax return preparation * Audits and the failure to comply with Generally Accepted Auditing Standards or Generally Accepted Accounting Principles or with the AICPA Code of Professional Conduct * Compilation engagements and the failure to comply with the Statements on Standards for Attestation Engagements * Claims that an accountant was negligent in failing to discover an embezzlement * Review engagements and the failure to comply with the Statement on Standards for Accounting and Review Services * Projections and forward-looking statements * Investment advice and financial planning * Management advisory, business advisory or consulting services and the failure to comply with the Statement on Standards for Consulting Services * Litigation consulting engagements Frank has also: * Represented accountants, attorneys and other professional in licensing, disciplinary and ethics proceedings before the AICPA, state boards of accountancy and state professional societies or associations, including proceedings that sought to revoke an accountant’s professional license and ban the accountant from public accounting or membership * Acted as supervisory, coverage and consulting counsel for insurance companies in matters in which professionals insured by them have had malpractice and other professional liability claims brought against them * Represented and advised insureds and insurance companies on issues relating to coverage and other insurance policy issues * Represented and advised the Georgia Society of Certified Public Accountants in connection with liability, ethics, legislative and insurance issues affecting accountants in Georgia * Spoken over fifty times at seminars and to accounting firms at in-house seminars regarding professional liability issues, avoiding professional liability claims and issues relating to professional liability insurance Frank’s complete resume can be viewed by clicking on the button at the top right of this page.
Section:
Headline: An Experienced Professional Liability Attorney Recognized as a Georgia Super Lawyer®
Body: Frank is an Atlanta malpractice and professional liability attorney who has represented accountants, attorneys and other professionals in professional liability claims for more than 35 years. He has represented parties suing accountants and served as defense counsel for accountants in claims arising out of: * Violations of the AICPA Code of Professional Conduct * Tax advice and tax return preparation * Audits and the failure to comply with Generally Accepted Auditing Standards or Generally Accepted Accounting Principles or with the AICPA Code of Professional Conduct * Compilation engagements and the failure to comply with the Statements on Standards for Attestation Engagements * Claims that an accountant was negligent in failing to discover an embezzlement * Review engagements and the failure to comply with the Statement on Standards for Accounting and Review Services * Projections and forward-looking statements * Investment advice and financial planning * Management advisory, business advisory or consulting services and the failure to comply with the Statement on Standards for Consulting Services * Litigation consulting engagements Frank has also: * Represented accountants, attorneys and other professional in licensing, disciplinary and ethics proceedings before the AICPA, state boards of accountancy and state professional societies or associations, including proceedings that sought to revoke an accountant’s professional license and ban the accountant from public accounting or membership * Acted as supervisory, coverage and consulting counsel for insurance companies in matters in which professionals insured by them have had malpractice and other professional liability claims brought against them * Represented and advised insureds and insurance companies on issues relating to coverage and other insurance policy issues * Represented and advised the Georgia Society of Certified Public Accountants in connection with liability, ethics, legislative and insurance issues affecting accountants in Georgia * Spoken over fifty times at seminars and to accounting firms at in-house seminars regarding professional liability issues, avoiding professional liability claims and issues relating to professional liability insurance Frank’s complete resume can be viewed by clicking on the button at the top right of this page.