Securities litigation requires lawyers who understand complex financial laws and transactions. Our lawyers have extensive experience in securities litigation, corporate directors’ and officers’ liability litigation, derivative actions, SEC enforcement proceedings, and financial services litigation. We advise and defend banks, mortgage lenders and brokers, consumer finance companies and other financial institutions or their senior employees on financing, corporate, transactional, regulatory, and workout matters in state and federal courts and in arbitration, as well as before governmental agencies. We have particular expertise representing clients in civil litigation and arbitrations related to concurrent governmental investigations or prosecutions, including class actions, derivative cases, financial reporting misrepresentations, and other complex matters involving securities law.
Securities Litigation
Areas of Focus
Class Action & Derivative Action Defense
As trial lawyers, we have experience in all aspects of class action litigation, including class certification, conducting class and merits discovery, litigating the merits of class claims, negotiating class settlements and guiding them through the court approval and notice process. Public companies, and their officers and directors, regularly engage us in defense against vast class and derivative actions alleging wrongdoing in the securities, commodities, antitrust, and other markets.
Civil Securities Fraud Litigation
We represent both institutions and individuals in virtually all types of securities-related matters, from federal and state shareholder class actions to investigations by the Securities and Exchange Commission, state securities regulators or one of the exchanges, claims under state law (including derivative claims) and securities industry arbitrations. Our lawyers have handled a wide array of substantive issues, including trading disputes, clearing firm issues, broker-dealer claims, bankruptcy issues, fraud claims including those under Rule 10(b)(5), fidelity bond and other insurance claims, securitizations, suitability, churning and other customer claims.