Kenneth O. Simon, Esq.
Ken Simon has more than 30 years experience as a judge and litigator. After law school graduation in 1979 he began his career in a litigation firm in Mobile, Alabama. In 1983, he was one of 13 people named as White House Fellow and served as a Special Assistant to Attorney General William French Smith. In that position, Mr. Simon worked for the Attorney General and his Chief of Staff, working directly with assistant attorneys general, bureau directors, and other senior Department of Justice officials. Later, as an Assistant Director and Branch Chief of the U.S. Securities and Exchange Commission’s Division of Enforcement in Washington, D.C., Mr. Simon supervised investigations of possible violations of the federal securities laws.
Ken has extensive experience in representing public agencies and their boards in contractual, litigation, employment, insurance, bond issuance, transactional, personnel law, and other matters. He also represents private parties in their dealings with governmental commissions and agencies. Among other things, for many years he led the firm’s representation of the Birmingham-Jefferson County Transit Authority. Ken also represented the Personnel Board of Jefferson County for several years in matters including general and administrative litigation, employment, and quasi-judicial matters.
Additionally, he has represented numerous public agencies in bond transactions, serving as co-bond, underwriter’s and Authority counsel in various transactions, including the Birmingham-Jefferson Civic Center’s refinancing of more than $80 million of its outstanding bonds, the issuance of more than $200 million in debt securities by the State of Alabama, and the issuance of millions of dollars in debt securities by the Alabama Public Finance Authority, the Alabama Water Pollution Control Authority, the Alabama Public School & College Authority, the State Industrial Development Authority, and the Alabama Corrections Institution Finance Authority.
Mr. Simon has also represented the interests of private entities in connection with various matters before public agencies and governments. In 1999 he served as Chairman of the Governor’s Tort Reform Advisory Committee. As a result of his work in advising and representing public agencies and private entities, Mr. Simon has been named Best of the Bar in Governmental Relations by the Birmingham Business Journal.
Since coming to Birmingham in 1989, Mr. Simon has served as a trial court judge in Jefferson County, the state’s largest judicial district, and has developed a reputation as a skilled litigator, mediator/arbitrator, and advisor to public agencies. Mr. Simon has also contributed to the Birmingham community through service on the boards of numerous charitable organizations.
SECURITIES, BUSINESS AND COMPLEX LITIGATION
- Represented executives of several Alabama-based firms in insider trading investigations by the SEC.
- Represented securities brokers and accounting firm employees in connection with SEC investigation of insider trading in stock of local bank.
- Represented a director of a Nashville-based health care company in insider trading with the SEC in Jacksonville, Florida.
- Represented a Fortune 500 company before the SEC in connection with the possible manipulation of certain of its securities.
- Represented brokers and firms in various regulatory investigations by the Alabama Securities Commission.
- Served as court-appointed receiver of investment firm sued by the SEC and distributed recovered funds to several hundred investors.
- Successfully litigated “failure to supervise” claims against a national broker-dealer in administrative proceedings before the SEC.
- Represented registered representatives in regulatory proceedings brought by the Chicago Board of Options Exchange and in arbitration proceedings brought by private investors.
- Represented high-level executives of Fortune 500 health care firm in insider trading investigation and securities fraud cases.
- Co-counsel with national law firms in defending major accounting firms in securities litigation involving audits of Alabama publicly traded companies.
- Represented national and regional brokerage firms in cases involving the enforcement of non-compete agreements between brokerage firms and brokers.
- Represented several investors in claims against national brokerage firms in arbitration before the NASD.
- Co-counsel with New York counsel in successfully representing shareholders of a public company in increasing the offering price paid in a tender offer for the purchase of the company’s shares.
MEDIATION & ARBITRATION/SPECIAL MASTER/RECEIVER APPOINTMENTS
- Appeals Judge, Gulf Coast Claims Facility for BP oil spill claims
- Mediated or arbitrated several hundred cases on a state-wide and regional basis, including Atlanta, Miami, Memphis, St. Louis, Oklahoma City and Sarasota
- Mediation and Arbitration Panelist, JAMS, Atlanta office
- Adjunct Faculty Member, National Judicial College: Dispute Resolution Skills
- Adjunct Faculty Member, Miles College Law School: Lawyering Skills I – Mediation and Arbitration; Lawyering Skills II: The Litigation Process
- Former Member, Alabama Supreme Court Commission on Alternative Dispute Resolution
- Former Adjunct Professor of Law, Cumberland School of Law: Alternative Dispute Resolution, (1999)
- Former Arbitrator, National Association of Securities Dealers
- Best Lawyers in America, Alternative Dispute Resolution
- Member, Academy of Court Appointed Masters
- Member, National Academy of Distinguished Neutrals
- Certified Mediator, Joseph B. Stulberg Mediation Training Course
- Special Master, Fannie Wayne, et al. v. Monsanto, et al., Jefferson County Circuit Court (PCB litigation involving approximately 4,500 cases)
- Appeals Special Master, Tolbert, et al. v. Monsanto, U.S. District Court for the Northern District of Alabama (PCB settlement involving approximately 18,000 claimants)
- Court Monitor in Jackson v. Birmingham Board of Education, U.S. District Court for the Northern District of Alabama (monitored the local school board’s compliance with federal guidelines under Title IX of the Civil Rights Act of 1964)
- Special Master in litigation involving a dispute between shareholders of a large private company
- Special Master in litigation involving the operators of a large gaming operation
- Special Master in pretrial matters involving litigation against several major cigarette manufacturers
- Receiver for investment firm sued by the SEC and distributed recovered funds to several hundred investors
- Receiver for nonprofit organization during litigation between several board members
- Receiver for shopping center during foreclosure proceedings initiated by lender
Professional and Community Involvement:
- American Bar Association (ABA): Member, Standing Committee on Mediation Ethical Guidance (October 2011 – present), Section of Dispute Resolution; Chairman, Sub-Committee on Securities Enforcement, 1998-1999; Chairman, Committee on Consumer and Personal Rights, 1999-2002
- Birmingham Bar Association: Executive Committee, 1996-1999
- Jefferson County Judicial Commission: Member and Chairman, 1999-2005
- Governor’s Tort Reform Advisory Committee: Chairman, 1999
- Holy Family Cristo Rey Catholic High School: Board Chairman
- Cornerstone Schools of Alabama: Former Board Chairman
- Baptist Health System Foundation: Board Member
- University of South Alabama: Member, Board of Trustees
- Bay Area Food Bank: Founding President
- Birmingham Emmaus Community: Founding Community Lay Director
- U.S. Navy Reserve JAG Corps: Lieutenant Commander (Honorable Discharge)
Awards and Recognition:
- White House Fellow/Special Assistant to the Attorney General, 1983-84
- Walter P. Gewin Award for Outstanding Contribution to CLE in Alabama, 2000
- University of South Alabama Distinguished Alumni & Service Award, 2007
- Selected for inclusion in Alabama Super Lawyers® 2012
- Best Lawyers in America ® in the fields of Arbitration, Mediation and Commercial Litigation
- Member, American College of Civil Trial Mediators
- National Academy of Distinguished Neutrals
- AV® Preeminent Peer Review Rating from Martindale-Hubbell*
- Birmingham Business Journal, “Best of the Birmingham Bar” in Alternative Dispute Resolution and Governmental Relations
- Fellow, Alabama Law Foundation
Publications and Presentations:
- Presenter at the ExecSense Webinar: What Litigators Need to Know About the Impact of Cloud Computing on e-Discovery Obligations in Litigation.”(December 2, 2011).
- Presenter for the 5th Annual Arbitration Institute ICLE/State Bar of Georgia: Presenting a Successful Case in Commercial Arbitration (August 2011).
- Presenter for JAMS/GABWA/Gate City Bar Association: Effective Techniques in Mediation Advocacy (April 2011).
- Presenter for the Thomas Goode Jones School of Law, CLE Program,Negotiating with Medicare and Medicaid (October 29, 2010).
- The Risks of Cloud Computing, Technology Alabama, 34 (Fall 2010).
- Presenter at the ExecSense Webinar: Best Persuasion Tips for Litigators(Oct. 28, 2010).
- Presenter for the ExecSense Webinar: What ADR Lawyers Need to Know about the Effect of a Party’s Bankruptcy on Pending Arbitrations (Sept. 22, 2010).
- Presenter for the American Bar Association Section of Litigation Seminar:Consumer Arbitration: Is It Fair? (2008). Reprinted in Consumer Arbitration: Global Trends, edited by Audhi Narayana Vavli, (2008-2009).
- Presenter at the American Bar Association Young Lawyers Division Seminar: Rules for Surviving Cross-Examination (2007).
- Presenter at the Alabama Defense Lawyers Association Workshop:Questioning the Witness (2005).
- Presenter at the Alabama Bar Institute for Continuing Legal Education: SEC Enforcement: Civil and Criminal Considerations in Dealing with the SEC in Financial Fraud Cases (2004).
- Presenter at the Attorneys Insurance Malpractice of Alabama Seminar:Getting It Right the First Time: Tips for Avoiding Legal Malpractice (2003).
- Presenter at the Alabama Young Lawyers Seminar: Keys to Successful Mediation (1999).
- Presenter at the Alabama Bar Institute for Continuing Legal Education: Batson Challenges in the Aftermath of Purkett (1997).
- How to Create the Winning Image for Your Client International Commercial Litigation (June 1996).
- The Law of Expert Testimony in Alabama, Alabama Defense Lawyers Association Journal (April 1996).
- Mediation and the Courts, Birmingham Bar Association Bulletin, 8 (Summer 1995).
- An Overview of Jury Trials, 54 The Alabama Lawyer 3 (1993).
- Summary Judgment Practice and Procedure, Alabama Defense Lawyers Association Journal (1993).
- Recent SEC Enforcement Cases Involving Broker-Dealers, Registered Representatives and Investment Advisors, Arkansas CLE Seminar (1992).
- Presenter at the Cumberland Institute for Continuing Legal Education Annual Business Torts and Antitrust Law Seminar: Liability Attorneys, Accountants, and Other Professionals under the Securities Laws (Nov. 6, 1992).
- The Duty of Broker-Dealers to Supervise Sales and Back-Office Operations(1991).
- Overview of Federal Securities Law: The Securities Act of 1933 and the Securities Exchange Act of 1934 (1991).
- Presenter at the Cumberland Institute for Continuing Legal Education Securities Law: The Revised Alabama Securities Act Seminar: What is Security? (June 29, 1990).
- Kenneth O. Simon & Gary Lynch, Recent Developments and Enforcement Activity Involving Beneficial Ownership Reporting, Tender Offers and Insider Trading, in Practicing Law Institute Handbook (1989).
- Presenter at numerous Continuing Legal Education Seminars on the topics of Trial Practice, Jury Selection, Punitive Damages, Mediation, Arbitration, Workers Compensation, Evidence, Civil Procedure, Professional Ethics, Judicial Selection, and Securities Law.
- Alabama, 1979
- United States Court of Appeals, 11th Circuit
- United States Court of Federal Claims,
- United States District Court, Northern District of Alabama
- United States District Court, Middle District of Alabama
- United States District Court, Southern District of Alabama
- ALTERNATIVE DISPUTE RESOLUTION
- CIVIL LITIGATION
- CORPORATE GOVERNANCE & REGULATORY COMPLIANCE
- GOVERNMENTAL AFFAIRS
- SECURITIES AND FINANCIAL SERVICES LITIGATION
- TECHNOLOGY AND EMERGING GROWTH COMPANIES
- WHITE COLLAR CRIMINAL DEFENSE AND CORPORATE INVESTIGATIONS
- ARBITRATION ADVOCACY
- HOW TO CREATE A WINNING IMAGE FOR YOUR CLIENT
- KEN SIMON DISCUSSES ALTERNATIVE DISPUTE RESOLUTION
- KEYS TO A SUCCESSFUL MEDIATION
- MANAGING THE LEGAL COMPLIANCE RISKS OF CLOUD COMPUTING
- NEGOTIATING WITH MEDICARE AND MEDICAID
- SEC ENFORCEMENT
- WHAT IMPACT WILL YOU HAVE?
- University of South Alabama, 1976, B.A. (President’s List; Dean’s List; SGA President, Vice-President; Sophomore Senator; Freshman Senator; Varsity Debate Team; Howard Mahan Award (Outstanding History Major); Blanche Cox Award (University’s Outstanding Student); Political Science Department Special Award for Outstanding Leadership in Student Government; Phi Eta Sigma; Who’s Who Among Colleges and Universities; HEW College Intern; Omicron Delta Kappa; Delta Sigma Tho-Tau Kappa Alpha; Political Science Honorary)
- University of Alabama School of Law, 1979, J.D. (National Moot Court Team; Order of the Barristers; Bench and Bar Legal Honor Society; Am Jur Awards in Labor Arbitration and Philosophy of Law)
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