LisaMarie has been resolving complex legal matters for clients in the financial industry for nearly a decade. She regularly handles issues concerning derivatives, commodity futures, securities civil litigation, and general commercial litigation, and has provided representation in class actions and arbitrations as well as regulatory investigations. She has represented numerous futures commission merchants and broker-dealers in complex cases involving allegations of fraud and violations of commodities and securities law.
In addition to litigating cases in state and federal courts and before arbitration bodies such as FINRA and the NFA, LisaMarie conducts internal investigations for companies, often as part of her work defending financial institutions and individuals in actions brought by the CFTC and the self-regulating entities and exchanges under its jurisdiction.
She also maintains an active employment practice, focusing mainly on dispute resolution, employment discrimination and harassment claims, and the management of risks related to hiring, firing, and downsizing. LisaMarie counsels blue-chip institutional clients on internal investigations relating to employee fraud and misconduct as well as a wide variety of other employment issues, such as employment and commission agreements, recruitment and contract disputes, and restrictive covenant issues.
Prior to joining Mintz, LisaMarie was an associate in the litigation department of another large law firm.
- University of Notre Dame (JD)
- Bucknell University (BA)
- Representing a prominent investment bank and futures commission merchant in an investigation by the division of enforcement of the Commodity Futures Trading Commission regarding the purported failure to properly report certain swap data to the firm’s designated swap data repository.
- Secured a defense award on all claims against one of the world’s largest commodity trading firms following an arbitration by a customer before the National Futures Association. Asserting claims of common law fraud, fraud under the Commodity Exchange Act, gross negligence, breach of contract, and breach of fiduciary duty, the customer claimed that it suffered millions of dollars in trading losses allegedly caused by the firm’s negligence in operating an electronic trading platform and related misrepresentations of the firm.
- Representing an FCM in ongoing litigation with insurers over their denial of coverage for $141 million in losses caused by a rogue employee’s unlawful commodity futures trades.