Ken Rubinstein represents publicly-held and private companies and individuals in a wide range of civil litigation matters. He has extensive trial experience in federal and state courts as well as before arbitration tribunals.
Ken devotes much of his practice to litigation stemming from financial transactions and employment related matters. He routinely provides counsel in disputes arising out of securities transactions and those involving duties owed to shareholders or investors.
His experience encompasses a broad spectrum of commercial matters including contract, fraud, and partnership disputes in the financial services, real estate, media, and apparel industries.
Ken is frequently retained by financial institutions and investment funds as well as by senior-level employees to negotiate employment and separation agreements and to litigate restrictive covenants, breach of fiduciary duty, unfair competition, and discrimination matters.
Ken also represents companies and individuals in civil proceedings and investigations brought by the SEC and FINRA. In addition, he has substantial experience conducting internal investigations, including investigations for publicly-held pharmaceutical companies related to FDA submissions for developmental drugs and an investigation related to allegations of securities fraud and violations of FDA regulations.
Ken has been selected by his peers for inclusion in The Best Lawyers in America each year since 2008.
Selected Client Representations
- Representation of a publicly-held company engaged in the Internet auction business in a dispute against its former chief executive officer and an employee for breach of fiduciary duty and unfair competition which resulted in a jury verdict for the client on all claims.
- Representation of a financial institution in an involuntary bankruptcy proceeding it commenced against a real estate investment fund which matter settled on highly favorable terms for the client following a trial before the United States Bankruptcy Court, District of Delaware.
- Representation of several investment funds and the principal shareholders of a publicly traded entity against claims of securities fraud and insider trading which resulted in the District Court (S.D.N.Y.) dismissing all claims on a motion to dismiss.
- Representation of an international bank in litigation against an investment fund stemming from a credit facility used to purchase mortgages and real estate related loans which matter was settled after trial following the commencement of involuntary bankruptcy proceedings in Delaware bankruptcy court.
- Successfully represented a client in the medical waste disposal business in defeating a motion seeking class certification for claims under the Telephone Consumer Protection Act (TCPA).
- Successful defense of a Latin American corporation against claims of commercial bribery, fraud, and aiding and abetting breach of fiduciary duty in a two-week jury trial in New York Supreme Court.
- Representation of an investment vehicle in litigation concerning a break-up fee from the attempted acquisition of a subsidiary of a publicly traded entity involved in coal mining operations which resulted in a settlement on favorable terms to the client during discovery.
- Representation of a former Tyco executive in an SEC action alleging securities and accounting fraud which matter was settled on favorable terms to the client during discovery.
- Representation of an investment fund based in India in litigation involving a real estate investment in Mississippi which resulted in the District Court (S.D.N.Y.) granting summary judgment and awarding the client more than $15 million in damages.
- Representation of a minority shareholder of a clothing manufacturer in an action seeking payment pursuant to, among other things, certain appraisal rights which resulted in the client receiving the majority of the consideration from the sale of the company.
- Representation of a former Tyco executive in a dispute related to an oral severance arrangement negotiated with L. Dennis Kozlowski which resulted in the Court (S.D.N.Y.) determining, following trial, that a valid and enforceable agreement existed and awarding damages based on such agreement.
- Obtained a dismissal, based on lack of personal jurisdiction, for a Latin American entity and its principal shareholder and CEO against claims of fraud stemming from an alleged commercial bribery scheme.
- Representation of an apparel industry executive against claims of RICO violations, fraud, tortious interference, unfair competition, Federal Computer Fraud and Abuse Act and Penal Law violations in two actions in which the Court granted various motions resulting in a dismissal of all claims.
- Representation of a group of mutual funds in a Delaware appraisal rights proceeding which resulted in the clients receiving a 50% premium to the original merger consideration in a settlement reached on the eve of trial.
- Representation of a national bank against a municipality in a dispute related to a municipal leasing agreement which resulted in the Court awarding judgment to the client after trial.
- Representation of former directors of a privately-held entity against claims of breach of fiduciary duty and tortious interference in a two-week jury trial in the United States District Court for the Eastern District of Pennsylvania which resulted in a finding for the directors on the primary matter at issue.
- Representation of a shareholder in a shareholder-deadlock suit involving a foreign subsidiary of a New Jersey corporation which resulted in the Court, after trial, entering judgment for the client granting sole control and ownership of both the parent corporation and its subsidiary.
- Representation of an investment vehicle that purchased securities from a broker-dealer in a bankruptcy sale against claims of securities fraud which resulted in summary judgment being awarded by the Bankruptcy Court dismissing the claims following the completion of discovery.
- Representation of an investment fund in a Section 16(b) "short-swing profit" dispute in which the Second Circuit Court of Appeals reversed a District Court decision and awarded summary judgment to the investment fund.
- Representation of a privately-held company engaged in the warehousing and transportation business against class action claims related to alleged wage and overtime violations which resulted in the Court dismissing all class-based allegations.