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James in 60 seconds

James has extensive experience in commercial litigation, with a focus on corporate and regulatory investigations and disputes, financial services, technology, insolvency and trade practices.

James' focus is on commercial litigation including claims concerning allegations of inappropriate financial advice, shareholder disputes, directors and officers' duties, professional negligence, and corporate & regulatory investigations, acting for and against the regulator.

James has a keen interest in disputes arising from new technology, especially in the fintech area. He provides commercially focussed solutions to a range of clients in the financial services, government and private sectors.

James acts for listed and unlisted entities as well as major national and international financial institutions in a wide variety of proceedings in the Supreme Courts of New South Wales, Queensland and Victoria, the Federal Court of Australia and before the Financial Ombudsman Service. James is also experienced in government commissions and inquiries.

James has particular experience in relation to large-scale, high-value litigation, regularly acting for large institutions, their directors, officers or shareholders in all litigious matters including contractual disputes, tortious claims, trade practices proceedings, shareholder oppression suits and regulatory investigations.

Qualifications

  • LLB (Hons)
    GDip Law (UK)


James's Recent Experience

APRA

Advising the prudential regulator, APRA, in its investigations into the collapse of Trio Capital Ltd resulting from the largest ever superannuation fraud in Australia, and acting on the pursuit of banning orders against directors.

ASIC Investigations

Acting for individuals in relation to ASIC's investigations concerning continuous disclosure requirements, false and misleading statements, directors' duties, falsification of records, insider trading and market manipulation.

Macquarie Bank

Assisting Macquarie Equities Limited in its implementation of a large-scale review of its compliance with its legal obligations regarding the provision of financial advice by MEL representatives following entry into an Enforceable Undertaking with ASIC.

Defending MEL in proceedings that have been instituted by clients following receipt of the outcome of the review of their account before various external dispute resolution bodies.

State of NSW

Acting for NSW Government Departments in disputes concerning the:

  • recovery of funds from a failed vocational higher education provider now in liquidation; and
  • transfer of a long-term lease from a company in liquidation.
     

James's Recent Insights

THE WRAP - DECEMBER 2016

  • 13 Dec 2016

In this specially-themed edition of The Wrap we consider how innovation as a concept is driving different initiatives in the financial services industry. Innovation has become a commonly ...

ASIC shifts evidentiary burden to advice licensees

  • 31 Oct 2016

Advice licensees may already be feeling the impact of ASIC's amended Class Order 14/923 (CO 14/923), which expands the obligations on advice licensees to maintain records. Prior to the release ...

ASIC releases regulatory guidance for digital advisers - what you need to know

  • 01 Sep 2016

On 30 August 2016 ASIC released Regulatory Guide 255: Providing digital financial product advice to retail clients. This new guidance helps digital advice providers with some of the operational iss...