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Joseph Spiegel
Joseph H. Spiegel PLLC
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- Joseph H. Spiegel PLLC
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- Joseph H. Spiegel PLLC
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- JOSEPH H. SPIEGEL BACKGROUND AND CURRICULUM VITEA Starting in 1974 into the 1990’s I represented broker/dealers, clearing firms, market makers, specialists, traders, and floor brokers who were members of the Chicago Board Options Exchange, Chicago Board of Trade, Chicago Mercantile Exchange, Midwest Stock Exchange, MidAmerican Commodities Exchange, New York Stock Exchange, American Stock Exchange, and other smaller regional exchanges. I have provided and continue to provide legal services to investment advisors, including preparing documents such as procedural and supervisory manuals, customer forms, and agreements so as to comply with state and federal securities laws. I have prepared buy/sell agreements for registered investment advisors. I have performed transactional legal services for issuers of securities, commodity trading advisors, and commodity pool operators in both private and public offerings of securities. Early in my career, I worked on matters relating to mutual funds. While in Chicago practicing law, I represented various persons and entities in SEC and NASD matters and exchange enforcement matters. I provided legal services in commercial litigation, securities and commodities litigation, and arbitration for claimants/plaintiffs and respondents/defendants. I was requested by the Tel Aviv Stock Exchange in Israel to provide consulting services. I have provided legal services in matters involving ERISA, the IRS, and the Department of Labor. I was an initial founder of the Chicago Kent Commodities Education Institute and lectured on various matters involving securities and Federal and State civil litigation for the Chicago Bar Association from time to time from 1974 to 1982. I have represented members of the New York Stock Exchange, American Stock Exchange, Chicago Board of Trade, the Chicago Mercantile Exchange, the Chicago Stock Exchange f/k/a Midwest Stock Exchange, and numerous other regional stock exchanges. I have also represented clearing firms on several exchanges. Upon moving to Michigan in 1987, I continued to provide legal services in SEC and NASD matters, providing both transactional and litigation advice to issuers, plaintiffs and defendants, broker/dealers, and registered investment advisors. In 1989 I started the Midwest Securities Law Institute n/k/a Midwest Securities Law Institute presented by Michigan State College of Law and sponsored by the Michigan State Bar Association, Business Law Section. I am currently chairman emeritus. I have chaired or co-chaired the program for over 24 years. I have lectured on securities litigation and regulatory matters for the Detroit Bar Association, American Arbitration Association, Downriver Bar Association, ICLE, UAW, and National Association of Black Accountants among other organizations. I have been retained in other securities matters and legal malpractice cases as an expert, which did not go to trial and were settled. From time to time, I am consulted by attorneys, accountants, and judges on securities matters on a confidential and informal basis to assist in securities or commercial litigation matters. I have litigated matters involving ERISA qualified plans, which involved legal issues governed by the Department of Labor, and IRS rules, regulations and statutes. I do not prepare plan documents. I have acted as lead counsel in class action securities matters for defendant broker/dealers and, recently, as lead counsel for plaintiffs the matter of Morgenthau, et al v American Benefit Concepts, Inc. et al, Case No: 2009-0433-CZ in Kalamazoo Circuit Court before Judge Giguere. I have provided services in matters involving large and complex Chapter 11 Bankruptcy cases that involved all aspects of securities law, bankruptcy law, common law, and at times criminal law matters. As such I have provided formal and informal assistance to the Department of Justice and Securities and Exchange Commission in the matter of Mortgage Corporation of America. I have provided informal advice and assistance to various State Blue Sky Commissions in numerous states over the last 20 years. Attached is a list of reported decisions which directly or indirectly involved securities and/or legal malpractice. This list does not reflect the numerous other cases I have prosecuted and defended in state and federal courts in Illinois, Michigan, Texas, and Florida. Over the past 44 years, I have attended numerous seminars and lectures throughout the country, including hearing lectures from Louis Loss, and lecturing with or hearing lectures by David Ruder (former SEC Chairman), Joel Seligman (author of several securities treatises), Robert Blakey (author of the RICO statute), and other experts in securities and RICO matters, including state and federal judges and SEC, NASD (FINRA) state Blue Sky Commissioners, and Exchange regulators. I have enclosed a copy of my resume, which is in the process of being updated and modified. Over the last 7 or 8 years, I have been formally retained as an expert in numerous matters, many which were settled or ended with a plea of guilty. In at least five of the cases, I wrote extensive reports. I have informally served as an expert for judges and lawyers for at least the last 25 years. Those matters are confidential. I was qualified as a securities law expert in the matter of Reed v. Cargill, Case #07-2856 in Macomb County Circuit Court. I was retained as an expert for the Department of Justice in the case of US v. Todd Halseth, Case # 05-CR-2005 – BC. I prepared a report for the DOJ that was used by the Assistant United States Attorney, which resulted in a plea of guilty from the Defendant. In that criminal matter, the defendant was accused defrauding persons using a reverse merger scam. I have testified and was qualified as an expert in a FINRA arbitration on the issue of suitability in November 2013. I have testified in other FINRA cases as an expert after being qualified and accepted by the Panel. I recently prepared an extensive report in an American Arbitration Association case 01–17–000–2754, Richard A. Ferri v. Portfolio Solutions, LLC. The matter resulted in an award for my client in excess of $3 million. I am named as an expert in the matter of Hoensheid v. Johnson Case No. 17-157194-CZ currently pending in the Circuit Court of Oakland County, Michigan., I have been qualified as an expert in six criminal matters and have testified in each of those cases. They all resulted in the conviction of the defendant or defendants. Those cases are as follows: 1. The People of the State of Michigan v. Dicken 13005531FH; 2. The People of the State of Michigan v. Wilson (“Wilson 1”) 1310011; 3. The People of the State of Michigan v. (Wilson 2) 1504120; 4. The People of the State of Michigan v. Wilson (“Wilson 2”) Preliminary Exam in 15041205; 5. The People of the State of Michigan v. Mulholland 01126658; and 6. The People of the State of Michigan v. Rookus. ? JOSEPH H. SPIEGEL Attorney and Counselor at Law 2640 Gladstone Avenue Ann Arbor, MI 48104 (734) 761-8475 (734) 761-9632 - Facsimile PRACTICE AREAS: Securities; Stockbroker Fraud Arbitrations; Securities Broker/Dealer Law and Regulation; Securities Transactions; Business Law; Complex Commercial Litigation; Securities Arbitrations; SEC, NASD and NYSE Enforcement Actions PRACTICE: 2.87 - Present Joseph H. Spiegel, P.L.L.C., Ann Arbor, Michigan Attorney engaged in general practice with emphasis in business law litigation with specialization in securities related matters, including prosecution and defense of securities cases, stockbroker fraud and expert witness testimony. 3.86 - 12.86 Jaffe, Snider, Raitt & Heuer, Detroit, Michigan Attorney practicing in areas of general litigation, federal securities and federal commodities law. 7.78 - 3.86 Spiegel and Fain, Ltd., Chicago, Illinois Trial attorney specializing in areas of securities and commodities litigation in both governmental enforcement and private actions. Expertise in Emergency Motion Practice in Federal and State Courts. Extensive experience in drafting corporate and partnership documentation, including shareholder agreements, employment contracts, buy/sell agreements, private placement memorandums, general and limited partnership agreements. Specialization in federal and state securities law in corporate finance and broker/dealer areas, commodities law on the Federal and Exchange levels, and general corporate and partnership law. 3.74 - 7.78 Shefsky, Saitlin & Froelich, Ltd., Chicago, Illinois Associate attorney specializing in areas of securities, commodities, partnership, and corporate law. Full responsibility for trials. BAR ADMISSIONS: Illinois U.S. District Court, Northern District of Illinois; U.S. Court of Appeals-Seventh Circuit, 1974. Michigan U.S. District Court, Eastern District of Michigan; U.S. District Court, Western District of Michigan; U.S. Court of Appeals-Sixth Circuit, 1986. EXPERIENCE: 43 plus years experience as a securities litigator in plaintiffs and defendants cases. Over 300 cases tried or arbitrated. Annual average caseload: 50 TEACHING POSITIONS AND LECTURER: Lecturer in areas of Securities and Commodities Law, Elder Law and Federal Civil Procedure for: Michigan State University College of Law/Midwest Securities Law Institute (Former Chairman and Co-Chairman for over 25 years); State Bar of Michigan, Legal Assistants Section; Washtenaw County Bar Association, Alternative Dispute Committee; Detroit Metropolitan Bar Association/Midwest Securities Law Institute; Michigan Institute of Continuing Legal Education; National Association of Black Accountants; Chicago Bar Association; United Auto Workers National Pre-Paid Legal Services; American Arbitration Association; National Association of Securities Dealers Regulation, Inc.; Institute of Certified Financial Planners; Institute of Continuing Legal Education; Commodity Education Institute, Ltd.; Futures Symposium International; Washtenaw County Bar Association’s Solo and Small Firm Practice Section; and United States Magistrate Judges Association in Conjunction with Federal Judicial Center TRADE AND PROFESSIONAL ASSOCIATIONS: State Bar of Michigan; State Bar of Illinois; Oakland County Bar Association; Washtenaw County Bar Association; Detroit Metropolitan Bar Association; Downriver Bar Association; (Former President) Southern Wayne County Chamber of Commerce; (Former Member of Board of Directors) Downriver Council for the Arts; (Former Member of Board of Directors) New York Stock Exchange; ( Former Arbitrator) National Association of Securities Dealers, Inc.; (Special Arbitrator for Large and Complex Cases and Former Co-Chairman of Continuing Education for Michigan Arbitrators) American Arbitration Association; and (Former Special Mediator and Special Arbitrator for the Michigan Regional Large, Complex Case Dispute Resolution Program, Member of the Michigan Regional Securities Advisory Council, and Member of the Michigan Employment Advisory Council) AV rated by Martindale Hubbell. Securities Experts Roundtable, Member ARBITRATOR AND MEDIATOR: Arbitrator and Special Mediator for the following organizations: New York Stock Exchange; (Former Arbitrator) Financial Industry Regulatory Authority; and (Special Arbitrator for Large and Complex Cases) American Arbitration Association. (Special Arbitrator for the Michigan Regional Large, Complex Case Dispute Resolution Program and Special Mediator). ARTICLES/PUBLICATIONS: Co-authored “The In Pari Delicto Defense and Attorney Misconduct, or It Is Time to Get Rid of the “Law-Free Zone”, Michigan State University Journal of Business and Securities Law, 2005 J. Bus. & Se. L. 65, Spring 2005. Co-authored “Securities Arbitration” Michigan Pleading and Practice-Alternative Dispute Resolution, Vol 8A, Lawyers Cooperative Publishing, 1994. Co-authored "Standing of Securities Plaintiff: Which Way the Trend?", De Paul Law Review, Survey of Illinois Law, Fall 1974. Co-authored “Diminishing Cognitive Alertness and Financial Investments”. Washtenaw County Bar Association Res Ipsa, May/June 2013. EDUCATION: John Marshall Law School J.D., February, 1974 American Jurisprudence Award for outstanding achievement in the study of Torts Cornell College, Mt. Vernon, Iowa B.A., History, June 1968 High honors and Dean's list in 1968, North American Review Magazine BORN: Dublin, Ireland, 1945
Professional Associations
- Michigan State Bar # 39048
- Member
- Current
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Jurisdictions Admitted to Practice
- Michigan
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Practice Area
- Business Law
- Business Contracts, Business Dissolution, Business Finance, Business Formation, Business Litigation, Franchising, Mergers & Acquisitions, Partnership & Shareholder Disputes
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