Finance/Securities

  • Neutral coarbitrator in a claim under ICDR rules under a loan instrument where a Swiss-based lender through a Cayman Islands affiliate extended credit to a US borrower and is claiming repayment; preliminary hearing pending.
  • Sole arbitrator in a demand under AAA rules by a US-based investment advisor against a Bermuda-incorporated entertainment entrepreneur for non-payment of commissions claimed to be owed as a result of an introduction to a capital investor; preliminary hearing held; document disclosure initiated; case in abeyance pending response to request for arbitration of UK-based successor entity as joined party.
  • Chair of a Panel hearing a dispute under AAA Commerical Rules between a U.S. lender and Swiss technology start-up regarding regarding potential events of default under a promissory note and rights under patent and other security agreements; preliminary hearing held, orders made on document disclosure issues; negotiated settlement by parties (July 2019).
  • Sole arbitrator in disputes under AAA Expedited Rules between a lender and a non-paying borrowers (owner of construction business, owner or consulting business); standard awards delivered (July 2019 & Mar. 2020).   
  • Member of an ICDR panel hearing a dispute between a US Investor and a Chinese company relating to the provision of information necessary to list the Chinese company's shares on a U.S. exchange. Party-negotiated settlement.


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