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Securities Litigation

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Businesses operating in today’s global commercial and securities markets face increased regulation and litigation risk. Our clients view these challenges as opportunities to grow and improve. We help our clients navigate and resolve their securities and regulatory risks to meet their challenges and realize their opportunities.

Our securities litigators have represented institutional and individual clients in a broad array of securities litigation, enforcement actions, and investigations involving topics such as:

  • Accounting fraud
  • Disclosures, misrepresentations, and omissions
  • Securities, derivative and ERISA class actions
  • Reporting and disclosure violations
  • Money market funds
  • Municipal securities
  • Real estate securities
  • Insider trading
  • Foreign private issuers
  • Derivative lawsuits
  • Corporate monitor investor claw back litigation
  • Closely held corporate shareholder disputes
  • U-5 defamation
  • Broker promissory notes
  • Individual investor suitability or misconduct claims 

We also counsel clients on internal controls and compliance and when it makes sense to conduct an internal investigation, how it should be conducted, and whether and how it should be reported. 

We are experienced in managing large, complex securities matters, but also efficiently handle the small arbitration case.