From securities fraud class actions to shareholder litigation to derivative litigation to SEC investigations, our securities litigation attorneys are experienced in complex, highly-sensitive cases. We often represent smaller players in the securities markets such as privately held companies and their directors, officers and major shareholders, middle market investment banks, investment advisors, or individual officers, directors or auditors whose employers finds itself a defendant in a securities action.
Our securities attorneys offer clients hands-on, highly-focused attention in a boutique firm.
- Won summary judgment defeating all claims brought by the United States Securities & Exchange Commission in an enforcement action
- Representing an investment advisor in an SEC investigation
- Represented life insurance company with respect to FTC claims against business partner
- Won motion to dismiss securities litigation complaint against Big Four accounting firm which was affirmed on appeal
- Obtained dismissal of Section 14(a) proxy claims, breach of fiduciary duty and aiding and abetting breach of fiduciary duty claims in class action lawsuits in the Southern District of New York on behalf of off-shore financial firm and its former CEO
- Handled derivative claims relating to multiple privately held companies
- Obtained summary judgment for company subject to derivative claims by forming special litigation committee to investigate claims
- Handled FINRA claims regarding investor disputes
- At prior firms our lawyers were involved in some of the largest ever securities class actions, including cases against Enron, WorldCom, The Williams Companies, The9, Stockwalk, and many others