Financial Markets
Hon. Catherine A. Gallagher (Ret.) began her impressive legal career with the Division of Enforcement at the Securities and Exchange Commission in Washington, D.C. She subsequently transferred to the bureau’s San Francisco branch and shortly thereafter was appointed as a Deputy District Attorney in Santa Clara County. Judge Gallagher ultimately joined the local judiciary, where she became well regarded by counsel for the depth and breadth of her experience over her 25 years on the Santa Clara County Superior Court, including a two-year term as the Presiding Judge. During her time on the bench, she served in every division, giving her experience in many diverse areas of the law and providing her with great insight into how to resolve cases with a wide variety of personalities.
Read counsel comments about Judge Gallagher’s skills and style as a neutral.
ADR Experience and Qualifications
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Served as trial counsel in Securities and Exchange Commission v. American Realty Trust 586 F2d 1001 (4th Cir., 1978)
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Acted as lead investigating attorney in several cases involving comprehensive examinations of brokerage houses for compliance with and violations of securities laws
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Appointed Special Assistant United States Attorney in the criminal prosecution of five individuals charged with securities fraud involving REITs and limited partnerships
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Mediated termination of $54 million partnership through creative settlement options including planning for refinancing and resolution of complex environmental issues
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Resolved dispute surrounding forced termination of partnership which owned $22 million in shopping centers
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Evaluation of Restricted Stock Units (RSU)
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Determination of vesting and exercise date(s) for stock options
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Interpretation of Transfer and Right to Repurchase Agreements
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Valuation of General and Limited Partnership investments
