Despite a decline in the total number of public companies and IPOs, securities class actions have increased. Companies are operating in an environment of stock market volatility and post-2008 regulatory scrutiny, which has led to an increase in investigations, disputes, and enforcement actions.

Our securities litigation team advises and represents issuers, underwriters, company officers, audit committees, directors, and professional services firms in enforcement actions and disputes. Because these cases can result in significant financial penalties and reputational damage, our focus is to prevent disputes when possible and to vindicate actions when necessary.

Our defense begins with the diligence and experience of our SEC compliance team, who work with clients to fulfill reporting and regulatory obligations. When appropriate, our compliance team collaborates with our litigators to provide a superb combination of strong regulatory knowledge and effective litigation strategy. 

We’ve represented clients through informal and formal SEC investigations, as well as in criminal and civil litigation before state and federal courts and FINRA arbitrations. We have successfully defeated class certification and prevailed prior to and at trial. We’ve also guided clients through intense SEC investigations and enforcement proceedings that have been resolved with judicial intervention. Our primary objective in handling complex securities matters is to resolve the dispute quickly and efficiently.

Our Services

  • Securities fraud
  • Shareholder derivative claims
  • Class actions
  • SEC investigations
  • Broker-dealer disputes
  • Dissenters’ rights
  • Valuation proceedings
  • Breach of fiduciary duty
  • Restatement of financial reports
  • Derivative litigation
  • FINRA arbitration
  • Hostile tender offers
  • Unlawful trade practices
  • Accounting or law firm malpractice claims

If cases proceed to the courtroom, we offer experienced teams with extensive resumes handling class actions filed in federal and state courts. Whether negotiating resolution through settlement or prevailing at trial, we partner with our clients to provide a defense consistent with their strategic and business objectives.

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