Practice

Securities Litigation

Helping corporations, investment advisers, investment companies, officers and directors navigate high-stakes disputes under federal and state securities and corporate laws.

Our team has a strong history of representing companies, financial institutions, professional services firms, broker-dealers, boards of directors and special litigation and audit committees, individual directors and officers in a variety of matters involving federal and state law. We use our experience and bench to defend our clients’ business interests in a highly complex area.

Our lawyers have deep expertise in the securities laws plus decades of experience litigating a broad range of securities class actions, shareholder derivative suits, internal investigations, corporate control disputes, and related business and corporate governance litigation. We have also routinely counseled corporate and institutional investors on securities fraud claims and litigation options.

The practice includes a former SEC Enforcement Senior Counsel, former state and federal prosecutors, fellows of the American College of Trial Lawyers, and several attorneys ranked among the leaders in related disciplines by publications including Chambers USA and The Best Lawyers in America.

Our Securities Litigation group includes and works closely with members of our widely-recognized White Collar Crime and Government Investigations Group. Working with our White Collar attorneys, we represent national and multi-national companies and their boards and executives in complex criminal and regulatory investigations, federal and state prosecutions and other enforcement actions, and related civil proceedings. 
Our attorneys collaborate across practices to ensure our clients have the appropriate tools and compliance protocols to avoid litigation. We are often called upon to provide proactive compliance counseling and analyze strategic responses while minimizing disruption to your business. 

Our attorneys collaborate across practices to ensure our clients have the appropriate tools and compliance protocols to avoid litigation. We are often called upon to provide proactive compliance counseling and analyze strategic responses while minimizing disruption to your business. 

Areas of Focus

Our attorneys also have expertise in these areas:
  • Securities class actions
  • SEC, FINRA, DOJ investigations
  • Fraud claims
  • Financial disclosure disputes
  • Shareholder derivative suits
  • Insider trading allegations
  • Corporate governance litigation
  • Whistleblower claims and litigation
  • Appraisal actions
  • Proxy contests
  • Blue Sky claims

Experience

  • We represented a mutual fund at trial in an insider trading case.
  • We advised the founder and CEO of a high technology company at trial in an accounting revenue recognition case.
  • We defended management in a proxy contest litigation in Delaware Chancery Court.
  • We worked with venture capital investors in corporate squeeze-out and freeze-out disputes.
  • We provided counsel to an investment advisor in connection with an SEC investigation and resulting administrative action regarding trading practices.
  • We helped a hedge fund in common law fraud and c. 93A claims brought by a French reinsurer.
  • We acted as counsel to an institutional investor in takeover litigation against trustees of a closed-end mutual fund.
  • We represented a national broker-dealer firm in securing a “mandatory” non-opt-out class settlement of securities fraud claims.
  • We defended EMC Corporation in shareholder appraisal action arising out of a merger; Mary Morgan v. Voyence, Inc. (Delaware Chancery Court).
  • We advised a special committee of independent directors of a public registrant in an SEC investigation of accounting and disclosure matters. 
  • We advised a public company in federal securities fraud class action and related state and federal court derivative actions. 
  • We represented a public company in federal securities fraud class action. 
  • We worked with a public company in option backdating derivative action.
  • Massachusetts Mutual Life Insurance Company v. Residential Funding Company, LLC (D. Mass.) We obtained dismissal of several clients in an ongoing mortgage-backed securities case.
  • We defended an acquiring company and merged entity against claims for breach of fiduciary duty, excessive executive compensation and underpayment for shares of target.
  • We provided counsel to a life insurance company and officers in defense of federal securities class action.
  • We obtained dismissal of shareholder derivative action as well as direct fiduciary duty claims.
  • We defended the former CEO and Chairman of a public company in a derivative suit alleging violations of state and federal law.
  • McBrearty v. Vanguard, et al. (S.D.N.Y.): We achieved dismissal of aRICO complaint alleging investments by mutual funds in illegal offshore gambling operations.
  • We advised a special committee of the board of a major mutual fund complex in a large-scale internal investigation concerning advisory fees.

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