Mr. Fleming clerked for the late John E. Sprizzo, federal District Judge in the Southern District of New York, served as a corporate in-house counsel at the global accounting and professional services firm Ernst & Young, and as a partner in the law firm of Zuckerman Spaeder LLP, where he focused his practice on white-collar criminal defense and litigation of commercial disputes, principally concerning business, securities, and accounting matters.  

 

Since joining GSF as a partner in 2001, Mr. Fleming has represented individual and corporate clients in a wide variety of areas and has been noted for his intensive, hands-on approach to cases, as well as on an application of reasoned and thoughtful creativity to complicated and multi-dimensional legal problems.  

 

Mr. Fleming is a native of New York City.

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Specific matters handled by Mr. Fleming have included, among others: 

• A 6-1 win in the New York Court of Appeals on behalf of a bankruptcy Liquidating Trust against a Big 4 accounting firm on a novel issue concerning federal pre-emption of claims on behalf of a group of bondholders under the Securities Litigation Uniform Standards Act (“SLUSA”). 

 

• Tried to successful verdict, following a six-week jury trial, an action brought by the NYAG against an executive under the New York laws governing not-for-profit corporations. 

 

• Full victory at trial as plaintiff in a dispute between two preeminent Wall Street banks over financial responsibility in a corporate action and, specifically, pursuant to automated liability letters under the DTC’s SMART/Track for Corporate Actions Liability Notification Service required by New York Stock Exchange and FINRA rules.  

 

• Navigated a successful resolution of a highly complex, multi-jurisdictional litigation brought against a former Chairman and Chief Executive charged with a complicated trade secret violations under the federal Defend Trade Secrets Act and related issues in proceedings in U.S. federal court, the London Court of International Arbitration, the courts of Bermuda, and involving a contested directors and officers insurance policy. 

 

• Obtained a large monetary settlement and expungement of record in a student’s favor in a Title IX litigation against a private college over its expulsion and sanctions imposed on a student based on alleged sexual misconduct. 

 

• Obtained summary judgment and damages as a plaintiff on behalf of an insurance premium finance company against an insurer for refund of unearned premiums.   

 

• Secured a no-jail plea for a client charged with federal mail fraud and passport fraud in connection with the taking of standardized college-admission exams. 

 

• Negotiated a misdemeanor plea for construction executive in felony prosecution brought by the Manhattan District Attorney for conduct relating to minority-owned business enterprise rules and quotas. 

 

• Represented founding partner in a fiercely-contested partnership dispute concerning a globally-branded online cryptocurrency casino. 

 

• Numerous representations of individual securities industry employees in employment-related FINRA arbitrations through trial. 

 

• Numerous representations of individual executives and employees in investigations conducted, or cases brought, by DOJ, SEC, FINRA, NYAG, OSHA, and/or other law enforcement or regulatory offices.  

 

• Served as pool counsel for employees of premier New York construction company in connection with federal grand jury investigation into billing practices. 

 

• Served as pool counsel for employees of national food service company in connection with federal grand jury and SEC investigation into accounting fraud. 

 

• Litigation of cutting edge discovery issues in hotly-contested commercial actions, and even secured a rare mid-hearing mistrial for a financial institution’s discovery abuses in a FINRA arbitration. 

 

• Numerous federal and state appeals.

 

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