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Securities Litigation

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Overview

Participants in the securities marketplace operate under the constant scrutiny of government regulators and class action lawyers. Corporate reorganizations are commonly hammered out not only in the board room, but in the courtroom. Even in the absence of legitimate bases, securities litigation is common under any circumstances where there is the prospect of a lucrative settlement. Public allegations can result in immeasurable damage to a company and its management, and are an extremely costly and time-consuming business distraction.

That is why public companies, officers, directors, broker-dealers, investment advisors, accountants, law firms and investors rely on our Securities Litigation Group. We provide sophisticated legal advice to prepare our clients to do business in the heavily policed securities industry, conduct internal investigations and, when they arise, defend investigations, class actions, derivative actions, regulatory enforcement actions and criminal prosecutions.

Because many of our lawyers have served in senior positions within the U.S. Department of Justice, the Securities and Exchange Commission and various U.S. Attorneys’ offices, we understand how to defend effectively against government and private actions. Our litigators have served as General Counsel of the SEC, U.S. Attorney for New Jersey and the Southern District of Illinois, chiefs of the Criminal and Civil Divisions of the U.S. Attorney’s office in Manhattan, Assistant U.S. Attorneys, high-level SEC enforcement officials, as well as the Corporation Counsel of the City of New York, Attorney General of Massachusetts and Deputy Attorney General of New York.  

The lawyers in our Securities Litigation Group are located strategically in our New York, Boston, Los Angeles, Hong Kong, Washington, D.C. and Boca Raton offices, where they work across disciplines such as corporate, civil and criminal defense, broker-dealer, SEC enforcement and internal investigations in the pursuit of one goal: to hone insightful defense strategies that address all facets of this highly regulated field. Our multidisciplinary approach to securities litigation and regulatory defense also allows us to draw on the regulatory experience of lawyers in our Corporate Department, who offer assistance with complex tax and accounting matters, corporate securities, hedge funds and private investment funds as well as sophisticated scientific and technological issues

Areas of Focus

  • Merger and Acquisition Litigation
  • Defense of Class Actions and Derivative Suits

  • Financial Services
  • Internal Investigations for Securities Issues
  • SEC, SRO and State Enforcement
  • Securities Industry Back Office Defense
  • White-Collar Criminal Defense of Securities Matters