James M. Moriarty, Partner
James Moriarty is a partner with Zeisler & Zeisler. Jim regularly represents individuals and entities in the prosecution and defense of complex civil litigation involving a broad spectrum of legal issues including: securities and securities arbitration, intellectual property, employment discrimination and restrictive covenants, ERISA, product liability, and contract disputes. Jim has conducted a number of securities arbitrations before NYSE, NASD and FINRA arbitration panels and regularly represents clients in state and federal courts. Jim has also represented clients in international arbitration before the ICC.
Jim's diverse practice, both in terms of substantive legal issues and the fora in which he has represented clients, provides him with the knowledge and insight to identify potential advantages and pitfalls, and to resolve matters in the most advantageous way for the clients he represents. Prior to joining Zeisler & Zeisler, Jim was associated with the international law firm Kelley Drye & Warren, LLP.
- Commercial Litigation
- Securities Arbitration
- FINRA Arbitration
- Rochdale Securities, LLC v. Pershing, LLC, FINRA Case No. 14-01061 (obtained award in excess of $8 million for client Rochdale Securities, LLC in FINRA arbitration alleging breach of contract and conversion against client’s former clearing firm); (Petition to Vacate Denied: Pershing, LLC v. Rochdale Securities, LLC, Index No. 651604/2016 (New York Supreme Court, New York Cnty., Sept. 27, 2016)).
- Takeda Pharm. Co. Ltd., et al. v. Zydus Pharmaceuticals, Inc., et al., 2013-1406 (Fed. Cir. 2014) (Tried matter to federal district court for the District of New Jersey and subsequently drafted appellate briefs in successful appeal of district court decision finding plaintiffs' patent valid and infringed by defendants' generic pharmaceutical product).
- Madisetti v. optionsXpress, Inc., FINRA Case No. 10-01922 (Obtained favorable award for broker-dealer client following several days of hearings before a FINRA arbitration panel).
- Urich v. Robert and Richard Lewin, NASD Case No. 06-03481 (Obtained dismissal of all claims against registered representatives brought by former customer after multiple hearing sessions before NASD (n/k/a FINRA) arbitration panel).
- ADP Clearing and Outsourcing Services, Inc. v. Commerce Capital Markets, Inc., NASD Case No. 04-06606 (Obtained award of full damages and nearly fifty percent of requested attorney's fees for claimant after multiple hearing sessions before NASD (n/k/a FINRA) arbitration panel).
- Howard v. Murphy & Durieu, et al., NASD Case No. 03-02970 (Obtained dismissal of all claims against registered representative and broker-dealer brought by former customer after a full day of hearing sessions before NASD (n/k/a FINRA) arbitration panel).
Publications & Presentations
- "Arbitrator or Judge: Who Decides?" New York Law Journal, October 7, 2010.
- "Tell It To The Judge, Not The Arbitrator" Connecticut Law Tribune, June 21, 2010.
- "Taming the Parrot: Third-party Opinions in Lost Future Profits Cases Present Challenges for Defense" Connecticut Law Tribune, February 23, 2009.
- "Escaping the Electronic Safety Net" Connecticut Law Tribune, June 16, 2008.
- "Winter Storm Passes: Second Circuit Court of Appeals Overturns Recent Decision Permitting Attachment of Electronic Fund Transfers by Maritime Plaintiffs" The Metropolitan Corporate Counsel, December 3, 2009.
- "New York's Highest Court Clarifies U-5 Immunity," Kelley Drye & Warren Client Advisory, April 4, 2007.
- Public Investors Arbitration Bar Association (PIABA)
- Connecticut Bar Association
- Greater Bridgeport Bar Association
- Connecticut (1999)
- New York (2000)
- U.S. District Court, District of Connecticut (2000)
- U.S. District Court, Southern and Eastern Districts of New York (2001)
- Pace University School of Law Juris Doctor, magna cum laude, 1999
- Marist College B.A., summa cum laude, 1996
Charitable & Civic Involvement
- Commissioner for Town of Ridgefield, Connecticut Housing Authority
- Lawyers for Children America: represent abused and neglected children in juvenile court.
- Connecticut Statewide Legal Services: represent indigent clients in diverse matters.