Denis C. Dice, Attorney

Denis is a senior member of the Securities Litigation Practice Group and has tried to conclusion over 60 cases including jury trials, bench trials and more than 25 arbitrations before the NASD and NYSE. As well, Denis has argued over 30 federal and state court injunctive hearings involving claims of misappropriation of trade secrets and breach of non-solicitation and non-compete contracts of individual registered representatives.  

Denis has also successfully defended class actions involving many diverse and complicated issues, and he has litigated claims involving a wide spectrum of investments including CMOs, UITs, options, variable annuities, limited partnerships, mutual funds (bonds and stocks), individual equities and debt. Denis handles litigation involving complex estate planning tools such as Charitable Remainder Unit Trusts and Irrevocable Life Insurance Trusts which own variable, universal and whole life policies.  He has defended claims involving allegations of defamation, discrimination, and wrongful termination brought by former employees.

Various entities have asked Denis to speak on topics involving securities litigation/arbitration matters, and Denis was the securities industry defense counsel representation for the NASD Spring 2004 Conference on the topic of securities arbitration and mediation. He is an arbitrator for the NASD and is AV (highest) rated by Martindale-Hubbell.

Through his involvement in document-intensive litigation, Denis has become very familiar with issues related to the management, production and use of different types of documents in different formats such as TIF, Word, PST and PDF. He also has experience with similar issues related to electronic communication and metadata and native fields.

Denis' background also includes active duty in the United States Marine Corps, Judge Advocate General Corps where he served as a Captain at Camp LeJeune, North Carolina, home of the Second Marine Division. While a member of the Marine Corps JAG, he tried numerous major jury and misdemeanor criminal cases while serving as a trial counsel.

After earning his J.D. from the Catholic University of America, Columbus School of Law, in Washington, District of Columbia, Denis earned his LLM in Taxation from Villanova University Graduate Tax Program. His studies concentrated in tax planning related to investments, qualified retirement and other employee benefit plans (ERISA), estate planning, federal wealth transfer, taxation and tax planning for closely held business. His practice also includes the defense of insurance agents and mortgage brokers in state and federal court and litigation of claims arising under ERISA.

Significant Representative Matters:

• Gray v. Tucker Anthony, Inc. 1997

• Basil v. Chubb Securities, Inc. 1998

• Baggesen v. Securities America, Inc.