Securities & Financial Regulatory Litigation

Conrad & Scherer’s securities and financial regulatory litigation practice offers vast experience representing and advising clients on a range of matters concerning securities law, whether these issues are related to state or federal regulations. We are highly knowledgeable in the 1933 and 1934 Securities Acts, the Investment Company Act, the Investment Advisory Act, the RICO statutes, shareholder derivative suits, individual actions, group and class shareholder actions, mergers, acquisitions, takeovers and proxy-related actions. We offer these services to individual clients as well as broker-dealers, public companies and investment funds.

  • ERIC J. HAGER
    AREAS OF PRACTICE
    BIO
    ERIC J. HAGER
    Partner
    ERIC J. HAGER
    EDUCATION
    • Columbia University School of Law, Juris Doctor, 2006
    • American University, Bachelor of Science, 2000
    BAR ADMISSIONS
    • Massachusetts Bar, 2006
    • District of Columbia Bar, 2007
    • United States District Court for the District of Columbia, 2007
    • Eleventh Circuit Court of Appeals, 2009
    • Ninth Circuit Court of Appeals, 2010
    • District of Columbia Circuit Court of Appeals, 2013
    BIOGRAPHY:

    Eric Hager is a partner in the Firm’s Quito, Ecuador office. His practice includes transnational litigation, appeals, commercial fraud & forensic recovery, securities & financial regulatory litigation, consumer finance litigation, general civil litigation, appeals, land use litigation, securities & financial regulatory litigation and trust litigation.

    Mr. Hager’s experience in complex litigation is varied. He has played key roles in diverse matters in a number of state and federal courts throughout the country and has managed multinational teams on difficult e-discovery and other discovery projects. Mr. Hager has also led or participated in appeals in multiple state and federal courts. He has worked closely with experts on foreign law from Ecuador, Colombia and Peru. Mr. Hager has drafted successful requests for discovery in relation to foreign legal proceedings under 28 U.S.C. § 1782, which is a statute allowing litigants to obtain discovery related to foreign legal proceedings using the assistance of U.S. courts. In addition, he provides the firm’s Latin American clients with assistance in cross-border litigation and transactions.

    Mr. Hager has experience briefing a wide range of complicated legal issues. Representative issues include choice of law, including between foreign and U.S. law; international comity, forum non conveniens, and other defenses common to transnational litigation; statutory construction of state, federal, and foreign statutes; removal from federal court and remand to state court; the intersection of state property law and federal tax law; standing and capacity to sue; issue and claim preclusion; tolling of the statute of limitations and other timeliness issues; and procedural issues associated with a variety of pre-trial motions, including motions to dismiss, motions for summary judgment, discovery motions, and motions in limine.

    Prior to focusing on commercial litigation and appeals, Mr. Hager spent over six years primarily representing the firm’s clients seeking to hold multinational corporations accountable for human rights abuses. In that role, he took and defended depositions abroad and in the U.S., obtained a reversal on a key issue from the U.S. Court of Appeals for the District of Columbia Circuit, briefed numerous other appeals, argued pre-trial motions before state and federal courts, and led discovery-related and other field work in remote regions of Colombia, Ecuador and Peru.

    Before joining the Firm in 2009, he practiced as a commercial litigator, primarily working on consumer financial services matters in the Washington, D.C. office of a large national firm.

    Mr. Hager is fluent in Spanish, resides in Quito, Ecuador, and has traveled extensively throughout the South American Andean region on business.

    Awards/Recognitions
    • Columbia University School of Law, Harlan Fiske Stone Scholar
    • Columbia University Journal of Environmental Law, Articles Editor
    • Fulbright Scholar, Canada-U.S. Fulbright Program, September 2002 to May 2003
  • RUSSELL R. O’BRIEN
    AREAS OF PRACTICE
    BIO
    RUSSELL R. O’BRIEN
    Partner
    RUSSELL R. O’BRIEN
    EDUCATION
    • University of Miami School of Law, Juris Doctor, magna cum laude, 2010
    • University of California at Berkeley, Bachelor of Arts
    BAR ADMISSIONS
    • Florida Bar, 2010
    • United States District Court for the Southern District of Florida
    • United States District Court for the Middle District of Florida

     

    BIOGRAPHY:

    Russell O’Brien is a Partner in the Firm’s Fort Lauderdale office and concentrates his practice on contract disputes, securities litigation, fraud (misrepresentation, inducement, transfers, aiding and abetting and conspiracy), fiduciary relationships and business torts, shareholder disputes (direct and derivative), and class action defense. He also has experience in admiralty law, including vessel acquisitions and sales, vessel refurbishment and repair, vessel charter, and foreclosing and defending against necessaries liens and first preferred ship mortgages.

    Russell is the Firm’s Administrative Partner and manages the Firm’s eDiscovery department. He regularly advises corporate clients regarding eDiscovery planning and protocols, e-Retention, and litigation concerning eDiscovery disputes.

    Russell has represented Fortune 500 companies, small businesses and individuals in both jury and bench trials, and has wide-ranging courtroom experience in both state and federal court. Prior to joining Conrad & Scherer, Mr. O’Brien practiced at an AM 100 law firm, primarily representing financial institutions in class action litigation.

    Community Involvement/Affiliations
    • Broward County Bar Association
    • 17th Judicial Circuit Grievance Committee Member, since 2018
    Notable Experience
    • Represented jet engine manufacturer in breach of lease claim and obtained prejudgment writ of attachment on commercial aircraft
    • Appeared before SEC for extensive attorney proffers and client interview in connection with violations of Rule 10b of the Exchange Act
    • Represented company in jury trial for breach of yacht charter management agreement and fines incurred while yacht was in French waters
    • Represented South American business and individuals in cross-border dispute, including challenges to personal jurisdiction and service of process issues under Peruvian law
    • Defended multiple insurance companies in class actions in connection with Florida’s No-Fault insurance statute, including negotiating settlement, final fairness hearings, and issues regarding notice to class members
  • JIMMY W. MINTZ
    AREAS OF PRACTICE
    BIO
    JIMMY W. MINTZ
    Associate
    JIMMY W. MINTZ
    EDUCATION
    • University of Florida Levin College of Law, Juris Doctor May 2014
    • University of Central Florida, Bachelor of Science, December 2010
    BAR ADMISSIONS
    • Florida Bar, October 2014
    • U.S. District Court for the Southern District of Florida, July 2015
    • U.S. Court of Appeals for the Eleventh Circuit, December 2017
    BIOGRAPHY:

    Jimmy W. Mintz is an Associate in the firm’s Fort Lauderdale office, where he focuses on complex commercial litigation. Before joining Conrad & Scherer, Mr. Mintz worked in the complex litigation unit of a multi-state law firm, where he assisted clients in litigation relating to financial fraud, healthcare-related fraud, corporate proxies, misappropriation of trade secrets, a collapsed Ponzi scheme and class action arbitration, among other business disputes.

    In some of these cases, Mr. Mintz represented publicly-traded and multinational companies. Mr. Mintz has worked on numerous appeals, both at the state and federal level, and he offers experience assisting jury trials.

  • PATRICK O’NEILL
    AREAS OF PRACTICE
    BIO
    PATRICK O’NEILL
    Associate
    PATRICK O’NEILL
    EDUCATION
    • University of Wisconsin Law School, JD, 2013
    • Georgetown University, Bachelor of Science in Foreign Service, 2008
    BAR ADMISSIONS
    • Wisconsin, 2014
    • U.S. Court of Appeals for the Seventh Circuit
    • U.S. District Court, Northern District of Illinois
    • U.S. District Court, Eastern District of Wisconsin
    • U.S. District Court, Western District of Wisconsin
    BIOGRAPHY:

    Patrick O’Neill is an Associate Attorney in the firm’s Ecuador office. He assists the firm’s U.S.-based litigation practice, and his own practice areas include securities litigation, class action litigation, general commercial litigation and appellate practice.

    Mr. O’Neill has represented both plaintiffs and defendants in various venues throughout the United States. In particular, he has helped dozens of defrauded investors recover their losses through FINRA arbitrations, brought class actions against major financial firms in state and federal courts, and represented companies of all sizes – from small businesses to multinational corporations – in all manners of litigation. His engaging personality and common-sense approach to problem solving allow him to achieve quick and favorable results for his clients.

    Prior to joining Conrad & Scherer, Mr. O’Neill worked for a mid-sized law firm in Milwaukee, Wisconsin, where his practice focused in plaintiff-side securities fraud cases.

  • SYLVIE RAMPAL
    AREAS OF PRACTICE
    BIO
    SYLVIE RAMPAL
    Associate
    SYLVIE RAMPAL
    EDUCATION
    • Columbia University School of Law, Juris Doctorate, 2011
    • University of Florida, Bachelor of Science in Business Administration (Economics), 2006
    BAR ADMISSIONS
    • Florida Bar, 2018
    • New York Bar, 2017
    BIOGRAPHY:

    Sylvie Rampal is an Associate in the Fort Lauderdale office, where she concentrates her practice on complex commercial litigation.

    Prior to joining the firm, Ms. Rampal worked in various capacities in the business and legal industry in Florida, New York, and London, England. While working at an AM Law 100 law firm, Ms. Rampal assisted with liability and compliance issues related to Brownfield Redevelopment as well as reinsurance litigation matters.

    Ms. Rampal assisted with e-discovery disputes, securities litigation, and SEC regulatory compliance reviews for a business advisory firm.  Ms. Rampal also has significant experience working at not-for-profit legal centers, handling matters in immigration, domestic violence, and poverty law.

    Ms. Rampal’s experience in law, finance, and economics intersected while working for a public benefit corporation, where she assisted with legal and financing issues related to joint ventures between the City of New York and private developers that increased the public and affordable housing stock in New York City.

    In addition, Ms. Rampal has extensive experience in public policy research for quasi-governmental agencies, policymakers, and an economic think tank. Specifically, while at the New York City Housing Development Corporation, she undertook research on housing, economic, and public finance matters. Relatedly, while at the Adam Smith Institute, she undertook research on economic and tax policy issues.

    Outside of the law, Ms. Rampal has a passion for prosocial projects and service. Ms. Rampal regularly volunteers for a homeless outreach project at her church and has recently gone on a mission trip to Jojutla, Mexico.

    Awards/Recognitions

    • University of Florida, Presidential Scholar
    • Columbia University, The American Review of International Arbitration, Staff Editor
  • JOHN E. RODSTROM
    AREAS OF PRACTICE
    BIO
    JOHN E. RODSTROM
    Associate
    JOHN E. RODSTROM
    EDUCATION
    • Stetson University College of Law, JD, 2017
    • Stetson University School of Business Administration, M.B.A., 2017
    • University of Florida Heavener School of Business, BSBA – Finance with a minor in Entrepreneurship, 2014.
    BAR ADMISSIONS

    Florida Bar, 2017

    BIOGRAPHY:

    John Rodstrom is an associate in the firm’s Fort Lauderdale office, where he assists partners and senior associates in a variety of complex commercial litigation matters.

    While in law school, Mr. Rodstrom worked as a Summer Associate for the firm and earned his Master of Business Administration through a joint degree program at Stetson University. This gives Mr. Rodstrom a unique background and perspective when it comes to business and securities-related litigation.

    During his time at the University of Florida, Mr. Rodstrom was extensively engaged in local affairs. In particular, he worked as the Campaign Manager for a Gainesville City Commission Candidate, and he was the youngest person ever to sit on a non-student city advisory board while serving a six-year term on the Gainesville Enterprise Zone Development Agency.

    Mr. Rodstrom also has an extensive background in the technology sector where he has owned his own business since 2007, working primarily as a graphic designer, web developer and network administrator.

    Community Involvement/Affiliations
    • Broward County Bar Association
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