Current Employment Position(s)

Shareholder

Year Joined Organization: 1997

Lawyer Overview

Denis is a senior member of the Securities Litigation Practice Group and has tried to conclusion over 60 cases including jury trials, bench trials and more than 25 arbitrations before the NASD and NYSE. As well, Denis has argued over 30 federal and state court injunctive hearings involving claims of misappropriation of trade secrets and breach of non-solicitation and non-compete contracts of individual registered representatives.  

Denis has also successfully defended class actions involving many diverse and complicated issues, and he has litigated claims involving a wide spectrum of investments including CMOs, UITs, options, variable annuities, limited partnerships, mutual funds (bonds and stocks), individual equities and debt. Denis handles litigation involving complex estate planning tools such as Charitable Remainder Unit Trusts and Irrevocable Life Insurance Trusts which own variable, universal and whole life policies.  He has defended claims involving allegations of defamation, discrimination, and wrongful termination brought by former employees.

Various entities have asked Denis to speak on topics involving securities litigation/arbitration matters, and Denis was the securities industry defense counsel representation for the NASD Spring 2004 Conference on the topic of securities arbitration and mediation. He is an arbitrator for the NASD and is AV (highest) rated by Martindale-Hubbell.

Through his involvement in document-intensive litigation, Denis has become very familiar with issues related to the management, production and use of different types of documents in different formats such as TIF, Word, PST and PDF. He also has experience with similar issues related to electronic communication and metadata and native fields.

Denis' background also includes active duty in the United States Marine Corps, Judge Advocate General Corps where he served as a Captain at Camp LeJeune, North Carolina, home of the Second Marine Division. While a member of the Marine Corps JAG, he tried numerous major jury and misdemeanor criminal cases while serving as a trial counsel.

After earning his J.D. from the Catholic University of America, Columbus School of Law, in Washington, District of Columbia, Denis earned his LLM in Taxation from Villanova University Graduate Tax Program. His studies concentrated in tax planning related to investments, qualified retirement and other employee benefit plans (ERISA), estate planning, federal wealth transfer, taxation and tax planning for closely held business. His practice also includes the defense of insurance agents and mortgage brokers in state and federal court and litigation of claims arising under ERISA.

Significant Representative Matters:

Areas of Practice

• Securities Regulation
• Securities Litigation
• Insurance Agent Litigation
• Real Estate Agent Litigation
• Mortgage Broker Litigation
• Employment Law -- Employer

Representative Cases

• Basil v. Chubb Securities, Inc., 1998 WL 88399 (U. S. District Court Eastern District of Pennsylvania 1998)
• Gray v. Tucker Anthony, Inc., NYSE Docket No. 1997-6512 (1997)
• Baggesen v. Securities America, Inc., 02-CV-4001 (U.S.D.C. Mass.)

West Practice Categories

Employment Law -- Employer, Securities Regulation, Litigation & Appeals

Bar Admissions

• Pennsylvania, 1990
• District of Columbia, 1992
• U.S. District Court Eastern District of Pennsylvania, 1994
• U.S. District Court Western District of Pennsylvania, 1998
• U.S. Court of Appeals 3rd Circuit, 1998

Professional Associations and Memberships

• International Who's Who for Licensed Professionals
• NASD, Arbitrator
• St. Denis School, Youth Athletic Association Board Member

Honors and Awards

• Moot Court Honor Society
• AV Peer Review Rating by LexisNexis Martindale-Hubbell

Classes and Seminars

• Speaker on NASD arbitration and mediation panel, NASD, Spring Conference, 2004
• Keynote Speaker, AON Third Annual Mutual Fund/Investment Advisor Insurance Conference, 2003
• Speaker, Annual Compliance Seminar, Sun Trust Investment Services, 2005
• First Quarter Compliance Seminar on Mutual Fund Share Classes, Financial Services Institute Seminar, 2006
• 2009 3d Quarter Financial Services Institute Seminar, Presenter on topics of Expungement, FINRA Claim Statistics, Claims by Senior and Broker Protocol.
• Various seminars for insurance carriers and third-party administrators on early resolution methods for securities litigation matters.

Education

• Villanova University School of Law, Villanova, Pennsylvania, 1996
  LL.M Taxation
• Catholic University of America, Columbus School of Law, Washington, District of Columbia, 1990
  J.D.
  Honors: Moot Court Board Member 1988-1990
• St Joseph's University, 1987
  B.S.
  Major: Finance

Published Works

• Breadth of Customer Arbitration Agreement is Expanded In Pennsylvania, Securities Arbitration Commentator, Vol. IX, Nos. 10 and 11, (June 1998)
• Right to Compel NASD Arbitration is Expanded in Pennsylvania's Eastern District, Defense Digest, Vol. 4, No. 3, 1998
• Third Circuit Clarifies Attorney Liability as Primary Actor in Claims Brought Under Section 10(b) and Rule 10b-5, Defense Digest, Vol. 4, No. 3, 1998
• PA Code Requires Periodic Inspection Of All Broker/Dealer Office Locations in PA, Defense Digest, Vol. 4, No. 6, 1998
• SEC Expands Monitoring of Registered Representatives, Pennsylvania Law Weekly, June, 2001
• SEC Expands Monitoring of Registered Representatives, Philadelphia Legal Intelligencer, June 20, Vol. 224, No. 119, 2001
• What Could Be Wrong With C Shares?, Defense Digest, Volume 12, No. 1, March, 2006
• Beware Of The Topsy-Turvey Economy, Insurance Agents of America, Fourth Quarter, 2007

Address

1845 Walnut Street
Philadelphia, PA 19103-4797

Phones

(215) 575-2779

Faxes

(215) 575-0856

Emails

Contact Us

Websites

http://www.marshalldennehey.com