For more than 25 years, Philip McLeod has litigated commercial disputes, trade secrets, unfair business practices and securities cases in both arbitration and court. He has defended numerous state, federal and SRO investigations and enforcement actions. These have involved disputed securities transactions, white collar criminal issues, back office practices and away from the firm conduct. He has arbitrated over a hundred customer complaint cases before panels of the National Association of Securities Dealers, Inc., the American Arbitration Association, the New York Stock Exchange and the Pacific Exchange.

Mr. McLeod's recent cases have involved the following issues:

· Trade Secrets. Litigated to stop the use of trade secret information by clients' former employees.

· Sales Practices. Represented brokers in investigations brought by state regulators for alleged sales practice violations.

· Suitability and Authorization. Defended firms and brokers alleged to have solicited purchases of unsuitable securities and of having made unauthorized trades.

· Supervision. Represented managers alleged to have exercised inadequate supervision.

· Away From the Firm. Defended a broker-dealer accused of allowing unapproved and unqualified securities transactions in furtherance of a Ponzi scheme.

· Misrepresentation. Defended a wire house alleged to have misrepresented the qualifications and abilities of money managers.

· Back Office. Defended a firm's back office procedures for handling restricted stock.

· SRO Investigation. Represented a firm in an SRO investigation after a back office employee embezzled money from clients' accounts.

· IRS Investigation. Defended an IRS investigation of a broker-dealer's administration of offshore accounts.

· Signature and Medallion Guarantees. Defended a wire house alleged to have negligently issued signature and medallion guarantees on stock certificates.

· State Regulators. Defended a money management firm alleged to have violated state law by filing inaccurate ADVs and maintaining incomplete books and records.

· Conflicts of Interest. Defended a broker-dealer which issued research reports which allegedly failed to disclose conflicts of interest.

· Distribution of Estate Assets. Litigated the distribution of assets between competing beneficiaries.

· Collection. Assisted in the identification and collection of judgment debtors' assets.

Mr. McLeod has been named a Northern California "Super Lawyer" the last three consecutive years. He has been a lawyer with Keesal, Young & Logan since 1981 and has been a shareholder in its San Francisco office since 1987.

E-mail: philip.mcleod@kyl.com

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