Securities and Shareholder Litigation

Given our deep bench of trial-tested litigators, we are often called on to take over particularly difficult cases from other firms on the eve of trial.

Our work includes:

• Defending companies and their officers and directors in securities fraud class actions
• Responding to shareholder demand letters and litigating shareholder derivative litigation
• Defending executives, officers and directors who face breach of fiduciary duty and corporate-governance lapse allegations
• Representing corporations and underwriters who face charges of misstatements in public offerings
• Defending public auditing firms accused of securities law violations and accounting malpractice
• Representing corporations, their officers and directors, and investment banking firms in litigation arising out of corporate mergers and acquisitions, including significant experience before the Delaware Court of Chancery
• Defending broker-dealer firms, investment advisers and hedge fund managers, as well as their employees and affiliates, against fraud and similar claims by investors and trade counterparties 
• Representing securities firms and professionals in customer disputes and employment arbitrations
• Advocating for statutory insiders in short-swing profit cases

Relatedly, we frequently conduct independent internal investigations of business conduct and represent audit and other special committees investigating potential corporate wrongdoing.

Working collaboratively with our White Collar Defense and Investigations team, we help resolve parallel criminal proceedings and sensitive government investigations as well as Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC), and other regulatory inquiries, proceedings and enforcement actions.