Quick Results
Practices

Securities Litigation

Print Version

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.

Featured Experience

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.

Practice Overview

Overview

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
  • 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.

  • Represented the CFO of World Com in state criminal prosecutions, class action litigation, tax matters; pleas and settlements achieved.
  • 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 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.

  • Represented broker-dealer and registered representatives in FINRA arbitration initiated by institutional customer alleging securities fraud, misrepresentation, and breach of fiduciary duty in connection with sales of trust preferred CDO notes.

  • 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.

Press Releases

They are very, very good trial lawyers, so every time we go to trial – and that's at least a dozen times – they exceed my expectations.

General Counsel of a company providing administrative support services to nursing homes

Email Disclaimer

NOTICE: The mailing of this email is not intended to create, and receipt of it does not constitute an attorney-client relationship. Anything that you send to anyone at our Firm will not be confidential or privileged unless we have agreed to represent you. If you send this email, you confirm that you have read and understand this notice.
Cancel Accept