Securities Litigation and Enforcement

Our Securities Litigation and Enforcement Practice has a deep bench with experienced partners who have represented major companies in various industries, as well as officers and directors, auditors, law firms and broker dealers in securities class actions, derivative claims, and enforcement actions. Our lawyers have litigated securities class actions involving billions of dollars in damage claims throughout the country in federal and state courts. Clients recognize our trial skills and have brought them in as lead trial counsel in significant matters. Clients look to us to handle their most significant matters.

Our Securities Litigation and Enforcement team brings together lawyers from many of the firm’s practice areas including complex litigation and class action defense, arbitration, and regulatory defense. Our broad experience, expertise, and insight come from decades of handling significant securities related matters. Given this background, our specialized representation gives clients an edge in dealing with the issues impacting the securities industry and the professionals serving that industry. Our team of lawyers are recognized as “go to” trial lawyers and are recognized in Chambers USA, Best Lawyers in America, and as fellows in the American College of Trial Lawyers and Litigation Counsel of America.

Our practice is not limited to defending significant class actions or derivative suits. We handle significant enforcement investigations by the Securities Exchange Commission and the Public Company Accounting Oversight Board. Over the years we have successfully represented companies, officers and directors, auditors, law firms, and broker dealers in regulatory investigations. We have persuaded regulators to not commence enforcement actions, as well as obtained favorable decisions following trial and appeal. Our substantial experience allows us to focus on successful end game strategies from the beginning, including trial if necessary.

We have experience working with clients on a number of related services including:

• Internal investigations
• SEC enforcement actions
• DOJ investigations and Lltigation
• Class actions, professional, director and officer liability litigation
• Whistleblower actions
• Arbitration and mediation
• Federal, state, and SRO regulatory compliance, investigations, and defense
• Sarbanes-Oxley and PCAOB compliance and defense
• Commodity exchange ace and model state commodity code compliance and defense
• Dodd-Frank and JOBS Act issues and compliance