Securities Litigation and Regulation

Our lawyers have been active for decades in every major area of securities litigation and enforcement. We regularly represent clients in federal and state courts, as well as before regulatory organizations, throughout the country. Our clients include public and private companies, broker-dealers, investment banks, investment advisors, and hedge funds, as well as their respective officers, directors and employees, in general litigation, class action suits, multidistrict litigation, and arbitrations. We have substantial experience representing both companies and individuals in regulatory proceedings brought by the Department of Justice, the SEC, FINRA, and other self-regulatory organizations.

Our lawyers frequently appear on panels addressing securities issues, write law review articles on securities topics, and have taught securities litigation and arbitration at Tulane University Law School for more than twenty-five years.

Our notable representations include:

  • Representation of a large broker-dealer in over 400 cases in FINRA arbitrations and litigation in state and federal courts across the country related to six high-yield bond funds that plummeted in value at the start of the financial crisis in late 2007.  The firm took dozens of arbitration cases to final award, with most resulting in outright dismissals or awards representing only a small fraction of the amounts demanded.
  • Representation of national and regional broker-dealers throughout the country in hundreds of “tech wreck” cases.  These cases followed the collapse of the information technology bubble that began in early 2000 and ended in the fall of 2002.  Over the next five years, the firm assisted clients in defeating numerous claims based on unsuitable trading and fraudulent and negligent misrepresentations and in negotiating favorable settlements.
  • Representation of national broker-dealers in scores of “research” cases.  The investors in these cases accused broker-dealers of misleading them with positive research reports about poor-performing companies.  The firm consistently obtained favorable results for its clients in arbitrations and in settlements. 
  • Representation of multiple individuals in cases involving allegations of insider trading, market manipulation, undisclosed private securities transactions, and other sales practice violations. 
  • Representation of numerous clients in various court cases and arbitrations involving allegations of unsuitability, lack of due diligence, misrepresentations and omissions.
Notable Cases