Securities Litigation & Enforcement

"They are very experienced attorneys, with prior work in SEC enforcement and/or the U.S. Attorney’s Office. They understand how prosecutors view cases, and give very good strategic advice on how to approach situations.  They are very cost effective relative to other firms with their experience level." 

- 2020 Legal500, Securities Litigation

Members of our securities litigation and enforcement practice group defend public and private companies and their officers and directors in connection with shareholder class actions, derivative cases, parallel inquires from the SEC, and direct cases.  Our work is at the upper end of the market where we are entrusted to resolve complex matters, often involving novel fact patterns or claims and/or significant financial exposure for our clients. We have been very successful in these cases, often obtaining complete dismissals and walk-away results. We  prosecute and defend litigation involving:

  • Mergers and acquisitions
  • Securities fraud class actions
  • Shareholder derivative suits
  • SEC enforcement actions
  • Asset purchases
  • Takeovers
  • Proxy contests
  • Broker-dealer disputes
  • Claims involving investment fraud

Our team includes a former SEC attorney from the Division of Enforcement, a former Assistant U.S. Attorney, several former U.S. District Court law clerks, and a dedicated team of trial lawyers, some with 25 years of experience specializing in securities and enforcement defense. The team’s lawyers draw upon these years of experience to critically assess each matter to implement proven strategies tailored to the particular case and client needs. 

We pride ourselves in never letting shareholder claims interfere with proposed transactions; we get involved early in our clients’ transactions to build in defenses and create the best record possible to defend our clients’ objectives.

Compliance

Given our depth of experience with and understanding of the risks associated with securities claims and enforcement matters, we are frequently called upon to provide counseling and training to prevent violations and liabilities before they become a problem. We regularly provide advice and training to our clients on issues such as:

  • Insider trading
  • Legal compliance programs
  • Directors and officers insurance
  • Securities law disclosure obligations