Securities Litigation

Understanding and navigating securities laws can be complex, particularly in international capital market transactions such as registered offerings and private placements of equity and debt securities into the United States. 

These matters require transactional, regulatory, and litigation experience, as well as knowledge of applicable federal and state law. We advise corporate clients, investment banks, companies, and their directors and officers on U.S. securities matters, and we defend securities, corporate governance, and professional negligence cases, including class actions and government investigations. We also counsel clients on how to anticipate, minimize, and respond to the risks and business interruptions that can result from these matters.

We understand the difference between professional judgment and outcome and have experience defending professionals by educating courts and other decision-makers on this critical distinction.

Our lawyers defend law firms, accounting firms, and other professional services firms and their individual practitioners in civil litigations, investigations, enforcement and disciplinary matters, disqualifications, and criminal proceedings. We have successfully represented law firms and lawyers in high-stakes malpractice lawsuits; in SEC, U.S. Department of Justice, and state attorney general investigations; and other disciplinary proceedings.

We also have conducted internal investigations prompted by allegations of professional misconduct and have advised law firms and legal departments of corporations on risk management policies and procedures in order to mitigate the risk of future professional liability claims. In addition, we have substantial experience representing accounting firms in civil litigation and disciplinary proceedings before the American Institute of Certified Public Accountants, state boards of accountancy, and other professional organizations.

We have represented clients in every major securities enforcement initiative conducted by the SEC, the Financial Industry Regulatory Authority, and state regulatory agencies for decades. These matters have included handling investigations involving insider trading, financial fraud, Ponzi schemes, hedge funds, the subprime and credit crisis, auction rate securities, accounting irregularities, options backdating, mutual fund trading, and the Foreign Corrupt Practices Act. For related capabilities in government investigations and enforcement matters, see our White Collar & Investigations and Regulatory Compliance & Disputes practices.