We represent clients in high-stakes securities and shareholder litigation in federal and state courts across the country, covering the full spectrum including class actions for alleged fraud on the securities market, derivative suits, merger challenges, government investigations and prosecutions, and records inspection demands. Corporations, officers and directors, financial institutions, underwriters, professional firms and venture capital and private equity partnerships in industries including manufacturing, banking, energy, technology and consumer services rely on us to represent and defend their interests.
Our deep understanding of securities laws, corporate governance law and the regulatory environment in a litigation setting is complemented by the skills and experience of other lawyers from our firm who provide counsel on other aspects of securities laws and regulations and corporate governance.
Every case is different, and recognizing that enables us to bring a creative and thoughtful defense approach to each case after thoroughly evaluating it with our client and gaining a comprehensive understanding of their needs and objectives. Our aggressive, strategic and tireless approach entails 24/7 availability and employs the latest technology to provide value and cost-efficient service throughout each engagement. We can identify opportunities and tactics for early victory, while carefully evaluating and planning to win the long game. Our extensive experience gives us an unparalleled grasp of the importance of the complex facts involved in securities and shareholder litigation cases.
Securities Class Actions
We represent issuers, officers, directors and other clients across many industries in securities holder class action cases for alleged fraud or other alleged breaches or violations of federal and state securities laws and regulations. We are well-versed in all major federal securities statutes, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company and Investment Advisers Acts of 1940, and the Trust Indenture Act of 1939. Clients seek our counsel in defending against claims for alleged violations of Sections 11, 12 and 15 of the Securities Act of 1933, and Sections 10(b), 14, 16(b) and 20 of the Securities Exchange Act of 1934, among other statutory provisions. We also defend against claims arising from alleged accounting fraud and restatements, failed product introductions, faulty business projections and similar cases. Our clients benefit from our current and sophisticated understanding of class actions and how to defeat or limit class certification.
Fiduciary Duty, M&A & Takeover Litigation
We represent clients charged with alleged breaches of fiduciary duties and violations of Section 14 of the Securities Exchange Act that arise from mergers and acquisitions, including both negotiated and hostile takeovers. When proxy or disclosure challenges, shareholder activism disputes or battles for corporate control arise, we provide guidance and defend our clients’ interests. We represent corporations, officers and directors, and special committees in derivative and other suits brought for alleged breaches of fiduciary duties of care and loyalty in many contexts including alleged mismanagement and waste of assets from flawed business plans. We also defend shareholders of private corporations in disputes involving alleged breach of shareholder fiduciary duties and shareholder agreements.
Internal & Government Investigations & Enforcement Actions
We represent clients in investigations by the Securities Exchange Commission, Department of Justice and other government agencies. Our team, which includes former prosecutors with considerable experience defending clients in civil investigations and enforcement actions and criminal prosecutions, has the knowledge and skills to develop integrated strategies to defend against government enforcement actions and the private litigation that often accompanies it.
Supreme Court Upholds SEC Disgorgement Powers, With Limitations - Securities Litigation Update
June 24, 2020
ISS Issues New Voting Policy Guidance in Light of COVID-19 Pandemic - COVID-19 Update
April 13, 2020
Dodd-Frank Whistleblower Protections Apply Only to Employees Who Report Alleged Securities Violations to the SEC - Business Litigation Update
February 26, 2018