Shapiro Arato Bach

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Appellate Advocacy

The firm’s lawyers are experienced appellate advocates who have successfully litigated numerous appeals before federal and state appellate courts, including the U.S. Supreme Court. We are frequently retained to appeal adverse judgments in cases in which we did not represent our clients in the trial courts. Our partners have a proven appellate track record of reversing adverse judgments and upholding trial court victories in both civil and criminal matters. We have also authored numerous amicus briefs on behalf of organizations in cases raising important law and public policy issues, some of which have been cited favorably in U.S. Supreme Court and Second Circuit opinions.

Our appellate practice is led by Alexandra A.E. Shapiro, who clerked on both the U.S. Supreme Court and the U.S. Court of Appeals for the D.C. Circuit. We have expertise in a broad range of areas, including criminal law, securities law, constitutional law, administrative law, election law, and intellectual property law, among others.

Our recent notable appeals include:

  • Won Second Circuit appeal vacating forced labor conviction of former executive of Chinese construction company based on erroneous evidentiary rulings improperly admitting uncharged crimes evidence and expert testimony and precluding certain cross-examination.
  • Won Second Circuit appeal reversing grant of discovery and quashing subpoena issued under 28 U.S.C. § 1782, statute authorizing U.S. discovery in aid of foreign proceedings.
  • Won Supreme Court remand to remanding decision affirming conviction of former Deerfield analyst convicted based on novel government insider-trading theories to Second Circuit for reconsideration in light of Kelly v. United States.
  • Won Second Circuit appeal vacating insider trading conviction of former JP Morgan investment banker due to erroneous exclusion of exculpatory evidence.
  • Won unanimous New York Court of Appeals ruling affirming the Fourth Department’s vacatur of conviction of Syracuse doctor on grounds of juror misconduct. We also represented the doctor in his successful appeal before the Fourth Department.
  • Won Second Circuit appeal vacating conviction of former N.Y.S. Senate Majority Leader Dean Skelos on public corruption charges.
  • Represented the Petitioner in Salman v. United States, the first insider trading case heard by the U.S. Supreme Court in 20 years.
  • Won Second Circuit appeal vacating conviction of Deutsche Bank broker in Second Circuit appeal of conviction related to Jenkins & Gilchrist tax shelters.
  • Won Second Circuit appeal reversing insider trading convictions of Todd Newman and Anthony Chiasson, and directing an acquittal on the grounds that insider trading liability requires proof that tippee knew that the insider disclosed material nonpublic information in exchange for personal benefit; that the government failed to prove such knowledge; and that the government failed to prove that the insiders acted for personal benefit.
  • Won Second Circuit appeal reversing conviction of former partner of Ernst & Young arising from his work on the firm’s tax shelter practice.
  • Won Second Circuit appeal granting new trial for former chief marketing officer of U.S. subsidiary of Royal Ahold who had been convicted of securities fraud and related offenses.
  • Won D.C. Circuit appeal by Unity08, a non-partisan group seeking to nominate a moderate presidential candidate, of ruling permitting Federal Election Commission to regulate the group as a “political committee” under Federal Election Campaign Act.

Examples of our appellate briefs include: