Attorneys

Robert B. Ericson

Summary

Mr. Ericson is a partner of the firm with more than 25 years of experience as a business litigator and trial attorney. He has tried cases in federal court and has tried over 30 binding arbitrations to award. Mr. Ericson’s experience includes representing clients in a wide range of matters, including securities litigation, unfair competition, business tort, antitrust, breach of contract, and breach of fiduciary duty cases. He strives to combine his litigation and trial experience with an understanding of his clients’ business needs to chart an appropriate strategy and resolution for each case he handles.

Mr. Ericson has represented financial institutions, consulting firms, real estate syndicators, health care entities and technology companies. He also has defended officers and directors of private and publicly held companies.

Mr. Ericson has extensive experience representing broker-dealers, investment advisors and other financial professionals. He has defended broker-dealers and their employees in hundreds of arbitrations before FINRA (formerly the NASD and NYSE). Mr, Ericson has handled cases involving equities, fixed income securities, mutual funds, managed accounts, variable annuities, limited partnerships and options. As a result of his experience, he has in-depth knowledge of retail operations, supervisory and compliance systems, the laws and regulations that govern the industry, and the products and services sold by the industry.

Prior to Palmer, Lombardi & Donohue, Mr. Ericson was Of Counsel with Cotton & Gundzik LLP.

Education

Mr. Ericson received his Bachelor of Arts degree from Stanford University and his Juris Doctorate degree from the University of California at Los Angeles. He also has completed the Executive Program at UCLA’s Anderson School of Management.

Professional Activities

Mr. Ericson is a member of the State Bar of California; Los Angeles County Bar Association; Association of Business Trial Lawyers; and Securities Industry and Financial Markets Association, Compliance and Legal Division.

Representative Matters

  • Defended broker-dealers in litigation and arbitration, including 30 arbitrations that have gone to award. The cases involved alleged violations of state and federal securities laws, breach of fiduciary duty, breach of contract, negligence and other tort theories.
  • Managed the internal investigation of broker-dealer subsidiary of a national bank, including advice regarding reporting obligations.
  • Represented registered representatives in investigations by the Securities and Exchange Commission and the Financial Industry Regulatory Authority.
  • Worked closely with numerous in-house counsel and their business partners to achieve cost-effective resolution of matters, whether by settlement, mediation, arbitration or trial.
  • Advised branches and law departments regarding operational matters including high-risk accounts and competing claims to account assets.