James H.R. Windels

Partner

james.windels@davispolk.com

Mr. Windels is a member of Davis Polk’s Litigation Department. He has experience in a wide variety of federal and state court commercial litigation matters, regulatory enforcement proceedings and internal investigations.

His matters include securities cases and investigations relating to public offerings, sales and trading, hedge funds, asset management and accounting issues. He has represented companies, boards of directors, financial institutions, investment advisers and accounting firms in lawsuits around the country and in investigations conducted by federal, state and foreign regulators.

Contact

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New York
450 Lexington Avenue
New York, NY 10017
P: 212-450-4978
F: 212-701-5978

Related Practices

Litigation

Bar Admissions

State of New York
U.S. Supreme Court
U.S. Court of Appeals, Second Circuit
U.S. Court of Appeals, Third Circuit
U.S. Court of Appeals, Seventh Circuit
U.S. Court of Appeals, Eighth Circuit
U.S. Court of Appeals, Ninth Circuit
U.S. Court of Appeals, Eleventh Circuit
U.S. District Court, S.D. Illinois
U.S. District Court, E.D. New York
U.S. District Court, S.D. New York

Education

B.A., Princeton University, 1986
- magna cum laude
J.D., Harvard Law School, 1989
- cum laude
- Editor, Harvard Environmental Law Review

Work Highlights

Represented a leading investment bank in an action brought by the State of West Virginia relating to trading in U.S. government securities, culminating in a two-month jury trial in West Virginia state court and a judgment for our client on appeal; see 459 S.E.2d 906 (1995)
Represented a major airline in an action for breach of contract brought by the bankruptcy estate and creditors committee of a competing airline, culminating in a two-month trial in federal court in New York and judgment for our client; see 175 Bankr. 438 (1994); 155 Bankr. 327 (1993)
Co-lead trial counsel for a health care and assisted living company in an action against a takeover target in California state court, culminating in a trial and judgment for our client (1999)
Lead trial counsel for an investment adviser as claimant in a six-party NYSE arbitration arising from stock lending transactions, culminating in an arbitration hearing and an award for our client (2004)
Represented a commercial bank in connection with antitrust and RICO lawsuits arising from commodities transactions with a Japanese trading company, winning dismissal and defeating class certification on a number of claims; see 306 F.3d 469 (2002); 113 Cal. App. 4th 195 (2003)
Won dismissal of several class action and shareholder derivative lawsuits against a major U.S. mutual fund adviser at the district court level and on appeal; see 1999 U.S. App. LEXIS 20213; 1999 U.S. Dist. LEXIS 19964
Represented a U.S. investment bank in connection with fraud claims brought by a government-sponsored Middle Eastern bank relating to management of a bond portfolio; see 1997 U.S. Dist. LEXIS 15921
Won dismissal on behalf of underwriters in a securities fraud action arising from a public offering of shares by a vitamin company; see 186 F.3d 338 (1999)
Defeated class certification on behalf of a large European bank in a securities class action arising from stock lending transactions and one of the largest-ever SIPC liquidations; see 2009 WL 2245223
Won dismissals on behalf of a Big Four accounting firm of stock options backdating litigations; see 2007 U.S. Dist. LEXIS 88045; 2008 U.S. Dist. LEXIS 100319; 2010 U.S. App. LEXIS 12312
Represented hedge funds in connection with investor and partner disputes
Represented investment banks, investment advisers, hedge funds, accounting firms and manufacturing companies in investigations by the Securities and Exchange Commission, the Department of Justice, the Manhattan District Attorney, the Federal Reserve Bank, the New York State Banking Department, the Commodity Futures Trading Commission and foreign regulators in Japan, the United Kingdom and Canada
Argued appeals in the Second, Seventh and Ninth Circuits and appellate courts in New York and California; argued numerous motions in federal and state courts in New York, New Jersey, Massachusetts, California, Florida, Louisiana, Missouri, Minnesota and Wisconsin
Representative clients over the last 20 years include ABN AMRO, Alliance Capital Management, Banco Santander, Delta Air Lines, Deutsche Bank, Highbridge Capital Management, J.P. Morgan & Co., Metalmark Capital Partners, Morgan Stanley & Co. and PricewaterhouseCoopers LLP

Recognition

Mr. Windels is listed as a leading lawyer in several legal industry publications, including:

The Legal 500 U.S.
Legal Media Group’s Benchmark Litigation
Practical Law Company’s Which lawyer?

Of Note

Current Memberships

Member, 2011-present, Executive Committee of the New York City Bar
Director, 2002-present; Chairman of Board, 2010-present, Brooklyn Legal Services Corporation A
Director, 2004-present; President of Board, 2011-present, Volunteers of Legal Service
Trustee, 2007-present; Member, Audit Committee, 2007-present, Groton School

Past Memberships

Chair, 2004-2007, Legal Services Awards Committee, New York City Bar
Member, 1997-2003; Chair, 2000-2003, Pro Bono and Legal Services Committee, New York City Bar

Professional History

Partner, 1997-present
Co-Practice Group Coordinator, Litigation Department, 2006-2011
Associate, 1990-1997

Law Clerk, Hon. Peter K. Leisure, U.S. District Court, S.D. New York 1989-1990

News

Benchmark Litigation Recognizes 21 Davis Polk Lawyers and Names the Firm Among the Best in the Nation in Three Practices

Davis Polk Lawyers Honored for Pro Bono Service

Client Publications

Supreme Court Agrees to Hear Important Securities Case
Client Newsflash

U.S. Supreme Court Limits Extraterritorial Application of U.S. Securities Laws—Morrison v. National Australia Bank
Client Newsflash

Supreme Court to Address Securities Fraud Pleading Standards
Client Newsflash

View More > >

Events

James Windels to Speak at PLI’s “Advanced Deposition Techniques” Program

James Windels to Speak at PLI’s “Taking and Defending Depositions” Program

Last Name
Title ALL TITLES Associate Consultant Counsel Counsel - Registered Foreign Lawyer General Counsel Law Clerk Litigation Counsel Partner Registered Foreign Lawyer Senior Counsel
Offices ALL OFFICES Beijing Hong Kong London Madrid Menlo Park New York Paris São Paulo Tokyo Washington DC
Practices ALL PRACTICES Antitrust Asia Practice Bankruptcy Litigation Board of Directors Litigation and Strategic Counseling Capital Markets China Practice Commercial Dispute and Contract Compliance and Advisory Compliance and Advisory Consumer Class Action Consumer Products Corporate Corporate Governance Credit Derivatives and Structured Products Energy/Utilities Environmental Europe Practice Executive Compensation and Employee Benefits Financial Crisis and Subprime Lending Financial Institutions Foreign Corrupt Practices Act Health Care Health Care/Life Sciences Hedge Funds India Practice Insolvency and Restructuring Intellectual Property Intellectual Property Litigation Internal Investigations International International and Domestic Arbitration International Litigation and Enforcement Investment Funds Litigation and Investigations Investment Management Leveraged Finance Litigation M&A-Related Litigation Mass Torts and Product Liability Media and Telecom Mergers and Acquisitions Private Equity Professional Liability Project Finance Real Estate Securities Class Actions Securities Enforcement Spain and Latin America Practice Tax Tax Controversy Technology Trading and Markets Trusts and Estates White Collar Criminal Defense
Law School ALL SCHOOLS Albany Law School American University, Washington College of Law Australian National University Australian National University College of Law Beijing Foreign Studies University Benjamin N. Cardozo School of Law Bond University Faculty of Law Bordeaux University Boston University School of Law BPP Law School Brigham Young University, J. Reuben Clark Law School Brooklyn Law School Campus Law Centre, Delhi University Chicago-Kent College of Law - I.I.T. China University of Political Science and Law College of Law, London Columbia Law School Columbia University Cornell Law School Duke University School of Law Ecole de formation des Barreaux (EFB-Paris) Emory University School of Law Fordham University School of Law Frankfurt University, Institute for Law and Finance Fudan University Law School George Washington University George Washington University Law School Georgetown University Law Center Ghent University Faculty of Law Harvard Law School Hofstra University School of Law Howard University School of Law Institut d'Études Politiques de Paris (Sciences Po) Karl-Franzens-Universität Graz, Faculty of Law King's College London School of Law King's College, University of London Leiden University London School of Economics London School of Economics and Political Science London School of Economics Department of Law McGill University, Faculty of Law Murdoch University School of Law National Taiwan University (NTU Law) National University of Singapore Faculty of Law New York University New York University School of Law Northwestern University School of Law Oberlandesgericht Koln Osgoode Hall Law School of York University Peking University Pontificia Universidade Católica de São Paulo Faculdade Paulista de Direito Queensland University of Technology Renmin University of China Renmin University of China Law School Ruhr-Universität Bochum, Die Juristiche Fakultät Rutgers University Rutgers University School of Law - Newark Seton Hall University School of Law Shanghai Institute of Foreign Trade Shanghai University of Finance and Economics Southern Methodist University School of Law St. John's University School of Law Stanford Law School Stanford University Stockholm University School of Law SUNY Buffalo Tel Aviv University The College of Law, Chester, England Transnational Law and Business University Trinity College, Dublin School of Law Trinity College, University of Cambridge Tsinghua University UC Berkeley - Boalt Hall School of Law UC Davis School of Law UC Hastings College of the Law UCLA School of Law Universidad Carlos III de Madrid School of Social Sciences and Law Universidad Católica Argentina (Buenos Aires), Facultad de Derecho Universidad de Buenos Aires Universidad de Deusto Universidad Pontificia Comillas (ICADE) Universität Zu Köln Université de Droit & Sciences Economiques Nancy II Université de Strasbourg Faculté de droit Université Jean Moulin Lyon 3, Faculté de droit Université Paris 1 Panthéon-Sorbonne Université Paris II Panthéon-Assas Université Paris II Panthéon-Assas Université Sceaux-Paris XI University at Buffalo Law School - SUNY University College London, Faculty of Laws University of Bristol School of Law University of British Columbia Faculty of Law University of Cambridge University of Cambridge, Faculty of Law University of Cape Town University of Cape Town, Faculty of Law University of Chicago University of Chicago Law School University of Cologne University of Connecticut School of Law University of Delhi Faculty of Law University of East Anglia University of Edinburgh School of Law University of Florida University of Genoa (Italy) Faculty of Law University of Georgia School of Law University of Glasgow School of Law University of Groningen University of Hong Kong University of Hong Kong, Faculty of Law University of International Business & Economics University of Iowa College of Law University of Ljubljana, Faculty of Law University of London University of Melbourne University of Melbourne Law School University of Miami School of Law University of Michigan University of Michigan Law School University of Minnesota Law School University of Munich, Faculty of Law University of Murcia University of Naples Federico II School of Law University of Natal, School of Law University of New South Wales University of New South Wales, Faculty of Law University of Notre Dame Law School University of Otago, Faculty of Law University of Oxford University of Pennsylvania University of Pennsylvania Law School University of Pittsburgh School of Law University of Queensland University of Queensland, TC Beirne School of Law University of San Diego School of Law University of Sao Paulo Law School University of South Carolina School of Law University of Southern California Gould School of Law University of Stellenbosch, Faculty of Law University of Sydney Law School University of Tel Aviv, The Buchmann Faculty of Law University of Texas at Austin University of Texas School of Law University of the West of England, Bristol University of the Witwatersrand, Oliver Schreiner School of Law University of Tokyo, Faculty of Law University of Toronto, Faculty of Law University of Toronto, Faculty of Law/Joseph L. Rotman School of Management University of Utah S.J. Quinney College of Law University of Virginia University of Virginia School of Law University of Warsaw, Faculty of Law and Administration University of Washington School of Law (Seattle) University of Western Australia University of Western Australia, Faculty of Law University of Western Ontario University of Wisconsin Law School Univerzita Karlova v Praze Vanderbilt University Law School Wake Forest University School of Law Washington & Lee University School of Law Washington University in St. Louis Washington University in St. Louis School of Law Wayne State University Law School Yale Law School Yale University
Clerkship ALL CLERKSHIPS Amon, Carol Bagley Aspen, Marvin E. Bates, John D. Bea, Carlos T. Becker, Edward R. Benton, Duane Berman, Richard Bernstein, Stuart M. Binnie, Ian Block, Frederic Boggs, Danny J. Bork, Robert H. Boyle, Terrence Breitel, Charles D. Breyer, Stephen G. Brown, Janice Rogers Buchwald, Naomi Reice Byrne, Jr., William Matthew Cabranes, José A. Caffrey, Andrew A. Callinan, Ian Cardamone, Richard J. Casey, Richard Conway Castel, P. Kevin Cedarbaum, Miriam Goldman Chagares, Michael A. Chandler III, William B. Chin, Denny Clark, Thomas A. Clay, Eric L. Coffey, John L. Conboy, Kenneth Conner, William C. Cote, Denise Cummings, Walter J. Cyr, Conrad K. Daniels, George B. Davis, Legrome Drain, Robert D. Duffy, Kevin Thomas Edelstein, David N. Feinberg, Wilfred Fisher, Raymond C. Flannery, Thomas A. Fogel, Jeremy Fuentes, Julio Gagliardi, Lee P Garaufis, Nicholas G. Garibaldi, Marie L. Garth, Leonard I. Ginsburg, Douglas H. Ginsburg, Ruth Bader Glasscock III, Sam Glasser, I. Leo Gleeson, John Goettel, Gerard L. Goodwin, Alfred T. Gorenstein, Gabriel W. Greenberg, Morton I. Gregory, Roger L. Griesa, Thomas P. Grunis, Asher Hall, Janet C. Hall, John E. Hays, Paul R. Henry, Robert H. Herndon, David R. Hochberg, Faith S. Hornby, D. Brock Hurley, Denis R. Iacobucci, Frank Imber, Annabelle Clinton Irenas, Joseph E. Irizarry, Dora L. Jacobs, Dennis Jiuyong, Shi Judges' Chambers, Senior Kaplan, Lewis A. Karas, Kenneth M. Katzmann, Robert A. Kaufman, Chief Judge, Irving R. Kearse, Amalya L. Keeley, Irene M. Keenan, John F. Kelly, Jr., Paul J. Kennedy Jr., Henry H. Kennedy, Anthony M. Kennedy, Cornelia G. King, Carolyn Koeltl, John G. Korman, Edward R. Kravitch, Phyllis A. Laster, Travis Leaphart, W. William Lechner, Jr., Alfred J. Legg, Benson E. Leisure, Peter K. Leon, Richard J. Letts, J. Spencer Leval, Pierre N. Lew, Ronald S.W. Lumbard, J. Edward Luttig, J. Michael Marshall, Thurgood Martin, Jr., John S. Matthes, M.C. Mauskopf, Roslynn R. McLaughlin, Joseph M. McLaughlin, Mary A. McMahon, Colleen Motz, J. Frederick Mukasey, Michael B. Murphy, Diana E. Nelson, David A. Newman, Jon O. Nickerson, Eugene Oakes, James L. Orie, Alphons O'Scannlian, Diarmuid F. Otero, S. James Otis, Louise Owen, Richard Parker, Barrington D. Patterson, Jr., Robert Pauley III, William H. Pitman, Henry B. Platt, Thomas C. Pogue, Donald C. Pollak, Louis H. Pooler, Rosemary S. Pratt, George C. Preska, Loretta A. Rabner, Stuart Raggi, Reena Rehnquist, William H. Ripple, Kenneth F. Robinson, Stephen C. Roth, Jane R. Rufe, Cynthia M. Rymer, Pamela Ann Sand, Leonard B. Saunders, Mary E. Scalia, Antonin Scheindlin, Shira A. Seitz, Collins J. Selna, James V. Sifton, Charles P. Silberman, Laurence Silberman, Laurence H. Skotnikov, Leonid Smith, D. Brooks Smith, Jerry E. Snow, G. Murray Sprizzo, John E. Stahl, Norman H. Stein, Sidney H. Stotler, Alicemarie H. Straub, Chester J. Sullivan, Richard J. Swain, Laura Taylor Sweet, Robert W. Sykes, Diane Tauro, Joseph L. Thomas, Clarence Thompson, David Tjoflat, Gerald B. Townes, Sandra L. Trager, David G. Van Dusen, Francis L. Wallace, J. Clifford Walls, William H. Webster, William H. Weinfeld, Edward Weinstein, Jack B. Wellford, Harry W. Wesley, Richard C. White, Byron R. Widener, Jr., H.E. Wilbur, Richard C. Williams, Richard L. Williams, Stephen F. Wilson, Charles R. Winter, Ralph K. Wisdom, John Minor Wollman, Roger Wright, Caleb M. Young, William G. ALL COURTS British Columbia Court of Appeals Delaware Court of Chancery District of Columbia Court of Appeals High Court of Australia International Court of Justice Montana Supreme Court New Jersey Supreme Court New York Court of Appeals Quebec Court of Appeals Supreme Court of Arkansas Supreme Court of Canada Supreme Court of Israel U.S. Bankruptcy Court, S.D. New York U.S. Court of Appeals, D.C. Circuit U.S. Court of Appeals, Eighth Circuit U.S. Court of Appeals, Eleventh Circuit U.S. Court of Appeals, Fifth Circuit U.S. Court of Appeals, First Circuit U.S. Court of Appeals, Fourth Circuit U.S. Court of Appeals, Ninth Circuit U.S. Court of Appeals, Second Circuit U.S. Court of Appeals, Seventh Circuit U.S. Court of Appeals, Sixth Circuit U.S. Court of Appeals, Tenth Circuit U.S. Court of Appeals, Third Circuit U.S. Court of International Trade U.S. District Court, Arizona U.S. District Court, C.D. California U.S. District Court, Connecticut U.S. District Court, Delaware U.S. District Court, District of Columbia U.S. District Court, E.D. New York U.S. District Court, E.D. North Carolina U.S. District Court, E.D. Pennsylvania U.S. District Court, E.D. Virginia U.S. District Court, Maine U.S. District Court, Maryland U.S. District Court, Massachusetts U.S. District Court, N.D. California U.S. District Court, N.D. Illinois U.S. District Court, N.D. West Virginia U.S. District Court, New Jersey U.S. District Court, S.D. Illinois U.S. District Court, S.D. New York U.S. Supreme Court U.S. Tax Court UN ICTY