Securities Litigation

Members of our Securities Litigation Group have extensive securities litigation experience, including representing public companies, directors and officers in complex securities class actions and derivative lawsuits in state and federal courts throughout the United States. We have also handled securities litigation matters for privately held companies. Our attorneys represent clients in informal and formal enforcement proceedings and investigations before the United States Securities and Exchange Commission (SEC), the Department of Justice (DOJ), the Financial Industry Regulatory Authority, the Office of the Comptroller for the Currency and state regulatory bodies. We have also represented special litigation committees in internal investigations charged with reviewing accounting, stockholder and other corporate governance issues.

Representative Matters

• Currently representing publicly traded company along with officers and directors in shareholder derivative litigation
• Currently representing publicly traded company and its subsidiary in federal action alleging securities fraud
• Currently representing registered entities and individuals in SEC enforcement actions
• Represented CFO of World Com in state criminal prosecutions, class action litigation, tax matters; pleas and settlements achieved
• Represented communications company board member in Los Angeles shareholder litigation regarding merger disclosures
• Lead counsel in defense of shareholder derivative action arising from merger of Canadian public company; co-counsel in defense of shareholder derivative action arising from merger of Tennessee public company
• Co-counsel in defense of series of class and shareholder derivative actions arising from adverse stock performance of an insurance company
• Represented Canadian company in SEC deregistration administrative hearing resulting in dismissal
• Represented pharmaceutical company in SEC investigation of best price rebate amounts and parallel HHS and U.S. Attorney investigation in qui tam action; matter settled
• Represented financial institution in SEC investigation of government and agency securities trading; matter settled
• Represented tippee investors in SEC investigations of insider trading; no charges resulted
• Represented defendants in SEC insider trading cases
• Represented mutual fund CEO in SEC investigation of market timing trades
• Lead counsel in minority shareholder oppression cases
• Co-lead defense counsel in complex corporate veil piercing and fraud case
• Defense of national bank in class action alleging violations of Veterans Administration regulations in lending
• Defense of directors and officers in several cases involving disgruntled investors
• Represented a national bank in a class action alleging non-compliance with state lien-release obligations
• Successfully defended a bank's directors and officers in a class action alleging fraud and malfeasance
• Successfully defended numerous companies in disputes with their shareholders