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Michael J. Sullivan
Partner

Practice Areas:
Complex Corporate Litigation

Securities Litigation / D&O Litigation

FINRA Arbitration

SEC Defense

White Collar Criminal Defense

Outside General Counsel

 

Michael J. Sullivan graduated summa cum laude from Princeton University in 1984, where he received his degree in English literature. Mr. Sullivan graduated with Highest Honors, and received the Class Award for the highest grade point average in the English Department. He graduated from Columbia University School of Law in 1989, where he was a Harlan Fiske Stone Scholar, and a member of the Human Rights Law Review. After law school, he completed a federal district court clerkship with the Honorable Jose A. Fuste, United States District Court Judge for the District of Puerto Rico. Mr. Sullivan has been certified by the Supreme Court of New Jersey as a Certified Criminal Trial Attorney. He is a member of the Board of Directors of the New Jersey Association of Criminal Defense Lawyers. He is a member of the Securities Litigation and Regulation Committee of the New Jersey State Bar Association. Mr. Sullivan has handled high value, multi-party cases, at both the trial and appellate level. Mr. Sullivan is a seasoned trial attorney who has tried dozens of cases in state and federal courts. He has handled both civil and criminal securities litigation including the defense of disciplinary matters involving the S.E.C., FINRA, and the New York Stock Exchange. He has tried numerous federal criminal cases, including New Jersey’s first “three-strikes” case. He has argued multiple cases as amicus curiae before the New Jersey Supreme Court.

Mr. Sullivan has extensive experience in the areas of complex commercial litigation, securities litigation, white collar criminal litigation, internal investigations, regulatory investigations, the defense of attorney malpractice claims and attorney ethics complaints. Mr. Sullivan appears frequently as an expert commentator in the areas of trial practice and criminal law.

Mr. Sullivan also acts as outside general corporate counsel handling contract negotiation and drafting, software agreements, employment agreements, and human resources issues.

Mr. Sullivan is a member of the Firm’s Management Committee and is the Firm's Commercial Practice Group Leader.

Education:
Columbia University School of Law (J.D. 1989)
Harlan Fiske Stone Scholar
Member, Human Rights Law Review

Princeton University (B.A, summa cum laude, 1984)
Recipient, Class Award for Highest Grade Point Average in English
Department


Professional Admissions:

State of New York (1989)
State of New Jersey (1993)
United States District Court for the District of New Jersey (1993United States District Court for the Southern District of New York (2004)

United States District Court for the Southern District of New York (2005)

United States District Court for the District of Puerto Rico (1993)

United States Court of Appeals for the First Circuit (1993)

United States Court of Appeals for the Second Circuit (2004)
United States Court of Appeals for the Third Circuit (1993)
United States Court of Appeals for the Sixth Circuit (1993)

United States Tax Court (2011) 

United States Supreme Court (2011)

 

 

Representative Engagements:

Complex Corporate Litigation

  • Representation of law firm in complex multi-party, multi-year litigation involving shareholder dispute arising out of corporate buy-out of shareholders

Corporate Counseling

  • Acting as outside general counsel in negotiation of contracts, employment agreements, software agreements, and handling human resources issues

Securities Litigation

  • Representation of brokers in SEC actions in connection with alleged late-trading/market-timing activities
  • Representation of broker-dealer in FINRA arbitration related to alleged fraud by registered representative of the firm
  • Representation of registered representatives in employment related FINRA arbitration

White Collar Criminal

  • Representation of broker in federal prosecution of alleged fraud
  • Representation of multi-national corporation in state criminal investigation
  • Representation of subpoenaed grand jury witness in healthcare fraud investigation
  • Representation of individuals charged with tax-related crimes.

Memberships and Professional Activities:
Certified by Supreme Court of New Jersey as a Criminal Trial Attorney
Member of Board of Directors, New Jersey Association of Criminal Defense Lawyers
Member, National Association of Criminal Defense Lawyers

Member, Securities Litigation and Regulation Committee of the New Jersey State Bar Association

Treatise:

Co-Author, Bromberg and Lowenfels on Securities Fraud, 2nd Edition (West, a Thompson Reuters Company, 2012)

Representative Publications:

  • Michael J. Sullivan, “SEC v. Mark Cuban – A Stress Test for the Misappropriation Theory,” Bromberg and Lowenfels on Securities Fraud, (2012), As Contributing Author
  • Michael J. Sullivan et al., Attorneys as Gatekeepers: SEC Actions Against Lawyers in the Age of Sarbanes-Oxley, 37 U. Tol. L. Rev. 877 (2006) (Co-authored with Lewis D. Lowenfels and Alan R. Bromberg).
  • Michael J. Sullivan, "The Economic Espionage Act of 1996: A Practical Guide for Corporate Counsel," The Alert, Newsletter of the Federal Bar Association's Corporate and Association Counsel's Division, Volume 6, No. 3, Summer 2001.

 

 Representative Speaking Engagements:

  • "What To Do When the Prosecutor Knocks on Your Door," 2005 Corporate Counsel Institute, New Brunswick, New Jersey, March 2005
  • "Strategies When Responding to an SEC Investigation," Seton Hall Law School, Newark, New Jersey, February 2005

Honors:

Selected for inclusion New Jersey Super Lawyers (2007, 2009 through 2014)

Teaching:

Adjunct Professor of Law, Rutgers Law School, Teaching Course in Securities Litigation

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Contact:
P.O. Box 1917
350 Mount Kemble Avenue
Morristown, NJ 07962-1917

Direct Dial: (973) 631-6013
Facsimile: (973) 267-6442

E-mail:
msullivan@coughlinduffy.com

 
 
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