William E. Hartgering

T: 312-655-0555
F: 312-655-0644
Securities
Over the last 24 years as a full time mediator and arbitrator, Mr. Hartgering has been involved in the resolution of over 1,000 matters in more than 40 states and foreign countries.

In the securities area, Bill has worked with a wide variety of corporate and individual plaintiffs, the federal government, and many national and regional brokerage firms, national investment firms and banks on matters involving a broad range of securities issues.

Representative Clients: The Securities and Exchange Commission (SEC), the IRS, the FDIC, Credit Suisse Bank, Paine Webber, UBS Paine Webber, Lehman, Merrill Lynch, Morgan Stanley, Harris Trust and Savings Bank, eFunds, WM Growth Funds, Banc of America Securities, Fifth Third Bank, Bank of Waukegan, Janus, and American Brokerage Centers.

Legal Experience: Prior to leaving his litigation practice with small and medium-sized multi-city law firms, Bill represented both plaintiffs and defendants in commercial, employment, and securities related litigation involving complex ERISA, 10b-5, and other Securities Act issues. Bill has both provided and received specific training updating current legal issues relating to the mediation and arbitration of securities related matters.

Personal Experience: As an original member of the ENDISPUTE firm in 1982 and later with JAMS as a result of a merger, Bill has been personally involved with a variety of creative stock issues and all aspects of a client working directly with several different domestic and international venture capital firms. Since 1975, Bill has also been a client of large and small broker firms as part of his ownership of an investment portfolio.

Representative Matters

  • Breach of Incentive Contract
    • Claim brought by senior experienced broker alleging breach of contract involving incentives arising out of a move from one national firm to another
  • Broker/Client Reporting
    • Matter of first impression, claim by clients against brokerage firm and individual broker arising out of manner in which clients gains and losses were reported
  • Broker/Fund Issues
    • Substantial Fund Transfer. Dispute involving several issues surrounding the transfer of a substantial portfolio from one fund to another
  • Churning, 10b-5, RICO
    • Various matters involving alleged churning, unauthorized trading, insider RICO trading, RICO, 10b-5, and other Securities Act issues
  • Complex Options
    • Matter involved very creative, “case of first impression” options transactions among very sophisticated players
  • Employment, Securities Class Actions
    • Executive Discharge, ADA, Race, Age, Gender Discrimination. Several matters involving settlement of class actions involving securities and communication technology in which matters arose as individual cases and as part of various company ADR programs
  • Merger/Acquisition, Dissolution Arbitrations
    • “Neutral” Arbitrator, 3 Member Panel. Post merger matter alleging concealment and breach of warranty involving representations by owners of the merged corporation
    • Medical Technology/Employment Issues, Sole Arbitrator. Bitter 10+ year matter among previous friends re complex transactions, medical technology, alleged fraud
    • Acquisition of Waste Handling Company, Sole Arbitrator. Stock and asset valuation issues and scope of payment for future clean up

Honors, Memberships, and Professional Activities

  • Honors
    • Ranked among the Top 10 ADR Neutrals in Illinois, Leading Lawyers, 2014
    • Recommended “Leading Lawyer” Commercial ADR Law
  • Memberships & Professional Activites
    • Former Adjunct Faculty, Northwestern University
      • Kellogg School of Management
      • Pritzker School of Law
    • Trainer, 30 forums in 15 states, Hong Kong, Latvia, and Lithuania
    • Member, Regional Utility Mediation/Arbitration Outage Allocation Panels
    • Active Member, ABA Section of Dispute Resolution and SPIDR (now ACR), 1981-present
    • Member, Unitarian Church of Evanston
  • ADR Profile

Background and Education

  • J.D., Northwestern University (Law Review, First Place, Moot Court Competition; National Moot Court team), 1975
  • B.S., cum laude, Political Science, Claremont McKenna College, Claremont, CA, 1972
  • Born 1949, Two children, Extensive travel in Japan, Hong Kong, South Africa, Asian/European Russia, Eastern/Western Europe, Caribbean, Central America, and each of the 50 United States

Disclaimer

This page is for general information purposes.  JAMS makes no representations or warranties regarding its accuracy or completeness.  Interested persons should conduct their own research regarding information on this website before deciding to use JAMS, including investigation and research of JAMS neutrals. See More

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