Securities Litigation

Successfully represented successor officers and directors in connection with securities investigations by the U.S. Department of Justice, the Securities and Exchange Commission and the U.S. Postal Service, and related litigation filed by private plaintiffs.

Represented international professional services firm on multiple subpoenas received from the Securities and Exchange Commission (SEC) and other federal regulators compelling the production of more than one-half million pages of its client's files.

Represented national banking association and broker-dealer firm in action involving claims of fraud and misrepresentation in connection with retail customer’s purchase of auction rate securities.

Served as 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.

Served as co-counsel in defense of series of class and shareholder derivative actions arising from adverse stock performance of an insurance company.

Represented a Canadian company in SEC deregistration administrative hearing resulting in dismissal.

Represented a 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 tippee investors in SEC investigations of insider trading; no charges resulted.

Successfully defended a bank's directors and officers in a class action alleging fraud and malfeasance.

Successfully defended a private equity/investment advisor firm in cases all across the country brought by exchange fund investors alleging common law securities fraud and mismanagement claims and seeking hundreds of millions of dollars in compensatory damages.

Successfully defended a financial institution in federal court action alleging violations of federal and state securities laws, commercial bribery, and aiding and abetting the breach of fiduciary duties.

Defended a banking corporation against class-action allegations of securities fraud and breach of fiduciary duties.

Defended broker-dealer in a federal court action alleging violations of federal and state securities laws, aiding and abetting breach of fiduciary duties, and commercial bribery in the wake of the bankruptcy of a registered investment adviser.

Defended broker-dealer and registered representatives in FINRA arbitrations initiated by individual customers alleging securities fraud, misrepresentation, and breach of fiduciary duty in connection with oil & gas investments and master limited partnerships.

Successfully represented broker-dealer firm and registered representative in action involving claims of securities fraud, suitability and failure to supervise in connection with retail customer's purchase of structured securities product.

Represented national banking association and its capital markets division and affiliated broker-dealer in federal court action involving claims of securities fraud, aiding and abetting breach of fiduciary duty, and commercial bribery by trustee of bankrupt investment advisory firm. The claims were made in connection with the investment advisory firm's purchase of CDO notes and reverse repo transactions.

Represented national financial institution in Enron securities litigation.