James Lux's practice focuses on securities, insurance, financial services and commercial litigation, including SEC enforcement matters. He has represented financial services companies, insurance companies, corporate officers, and professionals charged with violations of state and federal laws. He joined the firm in 2007.
Mr. Lux has litigated around the country in securities fraud class actions, insurance sales class actions, insurance suitability disputes, derivative litigation, mergers and acquisitions litigation, and contract disputes. He has also successfully represented clients in SEC investigations and litigation brought by the SEC.
Mr. Lux has experience handling all phases of litigation, having taken and defended depositions of fact and expert witnesses, prepared witnesses for deposition, drafted successful dispositive motions, coordinated discovery and prepared cases for trial. He has also successfully represented clients in mediations and arbitrations.
Mr. Lux has also served as lead trial counsel on a variety of criminal cases tried to juries and to judges while appointed as a Special Assistant District Attorney.
While in law school, Mr. Lux interned with the Equal Employment Opportunity Commission in Boston, where he assisted with various aspects of trial preparation, including conducting client interviews, conferring with expert witnesses for development of trial strategy and leading discovery efforts. He also developed cases for mediation and reviewed results of failed mediation for upcoming trials. In addition to his casework, Mr. Lux provided support to agency outreach programs for under-represented communities and conducted research into novel areas of employment discrimination.
- Successfully defended a major insurance company in several class-action and individual cases around the country alleging fraud and unsuitability with respect to sales of equity-indexed annuities.
- Obtained summary judgment in putative class action challenging nationwide sales of life insurance products.
- Achieved denial of a preliminary injunction and dismissal of litigation seeking to prevent a bank from entering into a merger agreement.
- Successfully represented a major automotive manufacturer in numerous AAA arbitrations in the wake of its well-publicized bankruptcy under a special federal statute granting an arbitration right to dealers terminated in the bankruptcy.
- Obtained a dismissal of a Section 10(b) claim, as well as a no-admit, no-deny settlement of a books and records charge for no penalty, no disgorgement, and without any director or officer bar in an SEC civil action on behalf of the former Director of Business Development of a publicly traded networking computer equipment manufacturer.
- Represented major financial institution in connection with federal and international litigation alleging breach of fiduciary duty, breach of contract, fraud, and fraudulent inducement arising from use of a prime broker in a long-short investing strategy.
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JD, Harvard Law School, 2007cum laude Line Editor, Harvard Journal of Legislation
BA, Political Science, Northwestern University, 2004