FLEMING LAW PLLC
FLEMING LAW PLLC
FLEMING LAW PLLC
EDUCATION
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Fordham University, J.D., 1991
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Princeton University, A.B., 1985
BAR ADMISSIONS
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U.S. Court of Appeals for the Second Circuit
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U.S. District Court, Southern and Eastern Districts of New York
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States of New York and Connecticut
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.
EXPERIENCE
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Zuckerman Spaeder LLP, 1999-2001
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Ernst & Young LLP, 1993-1996
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Law Clerk to the late John E. Sprizzo, U.S. District Judge, Southern District of New York, 1991-1993
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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.
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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.
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Obtained a public acknowledgement that no criminal or civil charges would be brought against either a transportation company or its two executives following our defense to the lengthy and highly publicized, independent investigations conducted by the FBI and the New York State Comptroller's Office into their conduct in the implementation of a new cross-border fast ferry transportation operation between the United States and Canada on Lake Ontario.
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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.
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Defended a power generation equipment reseller and obtained a successful resolution to an intensely litigated federal fraud action brought by a Fortune 150 power generation company arising out of the relocation of a coal-fired power plant from the United States to Guatemala.
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Achieved restoration of full academic privileges in First Amendment challenge for graduate student suspended following campus protest activities by a private University acting under content-based federal government guidance.
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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.
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Obtained summary judgment and damages as a plaintiff on behalf of an insurance premium finance company against an insurer for refund of unearned premiums.
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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.
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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.
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Represented founding partner in a fiercely-contested partnership dispute concerning a globally-branded online cryptocurrency casino.
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Numerous representations of individual securities industry employees in employment-related FINRA arbitrations through trial.
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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.
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Served as pool counsel for employees of premier New York construction company in connection with federal grand jury investigation into billing practices.
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Served as pool counsel for employees of national food service company in connection with federal grand jury and SEC investigation into accounting fraud.
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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.
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Numerous federal and state appeals.
About William Fleming
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, 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, and as name partner in the law firm Gage Spencer & Fleming LLP, where he spent twenty-five years helping develop a premiere New York litigation boutique.
Mr. Fleming has represented individual and corporate clients in numerous different fields 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. Results have included:
A 6 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 c.
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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.
-
Obtained a public acknowledgement that no criminal or civil charges would be brought against either a transportation company or its two executives following our defense to the lengthy and highly publicized, independent investigations conducted by the FBI and the New York State Comptroller's Office into their conduct in the implementation of a new cross-border fast ferry transportation operation between the United States and Canada on Lake Ontario.
-
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.
-
Defended a power generation equipment reseller and obtained a successful resolution to an intensely litigated federal fraud action brought by a Fortune 150 power generation company arising out of the relocation of a coal-fired power plant from the United States to Guatemala.
-
Achieved restoration of full academic privileges in First Amendment challenge for graduate student suspended following campus protest activities by a private University acting under content-based federal government guidance.
-
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.
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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.
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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.
- Exoneration of an executive of a New York not-for-profit corporation with respect to all claims by the New York Attorney General for legal and equitable relief against him following a six-week jury trial and ensuing two-week bench trial.
- A 6-1 reversal in the New York Court of Appeals for a bankruptcy Liquidating Trust against a Big 4 accounting firm defeating the opponent's novel claim of federal pre-emption under the Securities Litigation Uniform Standards Act (“SLUSA”).
- 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.
- A rare public acknowledgement that no criminal or civil charges would be brought against transportation company executives at the conclusion of vigorously defended, politically fraught, and highly publicized investigations by the FBI and NYS Comptroller into the clients' implementation of a new international, cross-border fast ferry operation between the U.S. and Canada.
- Successfully resolved 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.
- Successfully defused an FBI investigation into a power generation equipment reseller and their executives, and favorably resolved the simultaneous, intensely litigated federal fraud action brought by a Fortune 150 power generation company arising out of a relocation of a U.S. coal-fired power plant to Guatemala.
- Achieved the restoration of full academic privileges for graduate student suspended following campus protest activities by a private University, prompted by our First Amendment challenge that the University had acted under content-based federal government guidance.
- 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.
- Two fulsome internal investigations at two different prominent Fortune 500 corporations (i) uncovering a fraudulent scheme involving an executive caused false invoices to be submitted by vendors in which he had an undisclosed financial interest for deliverables already being provided by internal personnel; and (ii) examining and explaining the full extent of corporate employees’ abuse of private black car services.