Charles J. Moxley, Jr., Esq. – Arbitrator and Mediator

• Fellow, College of Commercial Arbitrators
• Fellow, Chartered Institute
  of Arbitrators
• Adjunct Professor of Law, Fordham Law School
• Distinguished ADR
  Practitioner in Residence, Benjamin N. Cardozo
  School of Law
• Attorney at Law

Contact Information

Charles J. Moxley, Jr.
MoxleyADR LLC
75 East End Avenue
New York, NY 10028
(917) 699-8801
cmoxley@moxleyadr.org

Litigations

During his over 35 years as a litigator, Mr. Moxley represented clients in a wide range of business, securities, insurance, construction, employment, insolvency, accounting and other cases. His practice was about equally divided between representing plaintiffs and defendants, such as having represented investors in some cases and securities firms in other cases, and as having, in some instances, represented accounting firms and, in other instances, represented persons or entities suing accounting firms. The scope of Mr. Moxley’s experience as a litigator enables him to quickly grasp issues and legal considerations in cases in which he serves as a neutral. Representative cases include:

• Accountants’ Liability:  represented several accounting firms in cases involving claims of securities fraud and malpractice; represented State Insurance Regulator in case involving claims of securities fraud and malpractice against an accounting firm over services provided to insolvent insurance companies;
• Antitrust:  represented both companies prosecuting and companies defending claims of antitrust violations;
• Attorney Discipline:  represented attorney in disciplinary matter;
• Class Actions:  represented companies and individual defendants defending against securities class actions; represented class action plaintiffs in securities class actions;
• Commodities:  represented investors, investment advisors, and commodities firms in numerous court cases; represented regulated person in connection with regulatory charges arising out of commodities trades;
• Construction:  represented company on claims arising out of the turnkey design, engineering, and construction of two cement plants in cases that extended over some five years and involved two lengthy federal court trials;
• Corporate:  represented preferred shareholder in litigation over his alleged rights arising out of such shares;
• Criminal:  represented numerous individuals against criminal charges:
• Election Law:  represented candidates in connection with election law disputes;
• Employment:  epresented employees in negotiating separation agreements with former employers, including representation of discharged investment advisor and discharged banker; represented employment agency against claim brought by discharged employee;
• Hedge Funds:  represented hedge fund in numerous cases arising out of its investments;
• Insolvency:  represented Liquidation Bureau of State Insurance Department in numerous cases over 25 year period.  Examples: claim against insurance holding company for alleged mismanagement of controlled insurance company; case involving the legal criteria for recovery by an insured of an insolvent insurance company from the New York Property/Casualty Insurance Security Fund; case involving issue of whether Liquidation Bureau is subject to the New York State Freedom of Information Law (FOIL); claims against former officers, directors and auditors of two insolvent insurance companies for alleged breach of duty in permitting the companies to continue in business when insolvent;
• Insurance:  represented numerous policyholders and insurers in cases involving coverage and other disputes; represented investors, insurance companies, regulators and others in corporate and securities litigation. Examples:  securities claim against insurance holding company over securities sold to investing insurance company/reinsurer, with the alleged misrepresentations largely arising out of valuations of loss reserves for automobile liability claims; representation of all risk insurers over claim arising out of terrorist destruction of multiple aircraft; represented insurance broker in case involving tort claims and a coverage dispute among an insured, the insurance broker and a carrier, involving issues of alleged negligent placement of insurance and of the scope of coverage of the subject insurance; represented insurance company in case involving issues as to the scope of coverage under a liability policy extended to a security firm, in connection with losses by the firm when burglarized; represented insurer in dispute with reinsurer over losses paid; represented policyholders in numerous cases involving issues as to title insurance, including one case involving a substantial New York commercial building; represented insurance company in connection with a set-off claim against the estate of an insolvent insurance company in liquidation in Kentucky; representation of insurance company in connection with a subrogation claim arising out of a fire loss paid to a Manhattan high rise commercial building that had suffered a severe property loss when its fire alarm system and related fire alarm services allegedly failed.
• Real Estate:  represented restaurant in litigation with landlord; represented owner in litigation with law firm over space;
• Securities:  represented investors, securities firms, banks, and accounting firms in a variety of cases involving securities claims in federal courts throughout the United States; defense of numerous claims brought against securities firm and associated persons; represented investors in numerous cases against securities firms and investment bankers; represented investors and securities firms and associated persons in arbitrations before the AAA and FINRA; represented public insurance company in case in federal court alleging $5,000,000 in damages resulting from misrepresentations in connection with sale of securities;
• SEC:  represented numerous clients in connection with claims or potential claims by the SEC; and
• Tender Offers:  represented targets and offerors in tender offer litigations.

ADR Counsel

Mr. Moxley has served as counsel in numerous arbitrations and mediations.  Examples:

• Arbitrations:  Counsel for parties in numerous arbitrations, including in the securities area, representing, in some instances, investors and, in other instances, securities firms and associated persons, including in arbitrations before the AAA and FINRA;
• Mediations:  Represented State Regulator in mediation of $140,000,000 fraud claim filed against former auditors of two insolvent insurance companies in Supreme Court, New York County, Commercial Division; represented hedge fund and other investors in mediation of $30,000,000 securities fraud claim against issuing company, auditors, and officers and directors, filed in Georgia State Court; represented owners/insurance carriers in mediation of $7,000,000 claim against fire alarm companies and others filed in Supreme Court, New York County, Commercial Division, in connection with allegedly delayed response to a major fire in a midtown commercial building, resulting in destruction of several floors of the building and extensive property damage; represented clients in scores of settlement conferences in litigations over 35 years as a commercial litigator in state and federal courts throughout the country.

Representative Reported Decisions

• Shintom Co. v. Audiovox Corp., 888 A.2d 225, 2005 Del. LEXIS 421 (Del. 2005);
• Serio v. PricewaterhouseCoopers LLP, 9 A.D.3d 330, 781 N.Y.S.2d 7, 2004 N.Y. App. Div. LEXIS 10054 (N.Y. App. Div. 1st Dep’t 2004);
• Levin v. PricewaterhouseCoopers, LLP, 302 A.D.2d 287, 754 N.Y.S.2d 541, 2003 N.Y. App. Div. LEXIS 1724 (N.Y. App. Div. 1st Dep’t 2003);
• McMahon v. McMahon, 279 A.D.2d 346, 718 N.Y.S.2d 353, 2001 N.Y. App. Div. LEXIS 452 (N.Y. App. Div. 1st Dep’t 2001);
• Paramount Communs. v. Gibraltar Cas. Co., 90 N.Y.2d 507, 685 N.E.2d 1214, 1997 N.Y. LEXIS 1384, 663 N.Y.S.2d 133 (1997);
• Roberts by Ladd v. Ski Roundtop, 212 A.D.2d 768, 623 N.Y.S.2d 264, 1995 N.Y. App. Div. LEXIS 2214 (N.Y. App. Div. 2d Dep’t 1995);
• Sommer v. Federal Signal Corp., 79 N.Y.2d 540, 593 N.E.2d 1365, 1992 N.Y. LEXIS 1305, 583 N.Y.S.2d 957 (1992);
• Boley v. Pineloch Associates, Ltd., 700 F. Supp. 673, 1988 U.S. Dist. LEXIS 12292 (S.D.N.Y. 1988);
• Sack v. Board of Elections, 65 N.Y.2d 958, 483 N.E.2d 1152, 1985 N.Y. LEXIS 15977, 493 N.Y.S.2d 1020 (1985);
• Grillo v. Harrington, 65 N.Y.2d 949, 484 N.E.2d 134, 1985 N.Y. LEXIS 15973, 494 N.Y.S.2d 105 (1985);
• Forty Exchange Co. v. Cohen, 125 Misc. 2d 475, 479 N.Y.S.2d 628, 1984 N.Y. Misc. LEXIS 3438 (N.Y. Civ. Ct. 1984);
• Sham Sunder Agarwal v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Amin Soorty, 1981 U.S. Dist. LEXIS 13580 (S.D.N.Y. 1981);
• Flintkote Co. v. Allis-Chalmers Corp., 73 F.R.D. 463, 1977 U.S. Dist. LEXIS 17693, 22 Fed. R. Serv. 2d (Callaghan) 1492 (S.D.N.Y. 1977);
• Pan American World Airways, Inc. v. Aetna Casualty & Surety Co., 505 F.2d 989, 1974 U.S. App. LEXIS 6498 (2d Cir. N.Y. 1974);
• Missouri Portland Cement Co. v. Cargill, Inc., 498 F.2d 851, 1974 U.S. App. LEXIS 8190, Fed. Sec. L. Rep. (CCH) P94595, 1974-1 Trade Cas. (CCH) P75113 (2d Cir. N.Y. 1974); and
• United States v. Super, 492 F.2d 319, 1974 U.S. App. LEXIS 9907 (2d Cir. N.Y. 1974).

Specialties

• Accounting
• Business Divorces
• Commercial
• Employment
• Healthcare & Life Sciences
• Insurance
• Intellectual Property
• International
• Real Estate
• Securities

Locations

New York, New York