Securities Litigation & Enforcement

Overview

OUR Practice
Stradley Ronon represents clients in all types of securities litigation and enforcement matters, including federal securities lawsuits, broker-dealer litigation, and regulatory and internal investigations. Our securities litigators combine broad knowledge of, and deep experience in, the industry with seasoned trial, investigative and negotiation skills. We provide high-quality, responsive and cost-effective representation in federal and state courts, governmental and SRO inquiries, and securities industry arbitrations. Most importantly, we help our clients avoid litigation whenever possible and, when it becomes unavoidable, we bring decades of experience to the table.

Securities Litigation & Enforcement

Our clients span the spectrum of entities involved in securities matters, including public and private companies, mutual funds, investment advisers, hedge funds, banks, broker-dealers and insurance companies, along with their directors, officers and employees. Our clients range from large, well-capitalized companies and their executives to regional businesses and their owners to modest local ventures and individuals. We invest in industry conferences and education programs – so we know and understand our clients’ businesses as well as they do.

OUR Experience
Our attorneys have substantial experience in all aspects of securities litigation and enforcement. We handle the defense of shareholder class actions; federal court litigation involving securities issues; state law claims of breach of fiduciary duty and shareholder disputes; securities fraud claims in industry arbitrations; and SEC, DOJ, FINRA and state regulatory examinations, investigations and actions.

Our attorneys successfully represent clients before judges, jurors, arbitrators and regulators on matters of current focus by litigants and regulators. We’ve helped clients through a multitude of issues, including securities and accounting fraud; director, officer and shareholder obligations in connection with corporate sales and mergers; broker-dealer, investment adviser and investment company regulation; registration; insider trading; disclosure; compliance policies and procedures; supervision; books and records requirements; audits; and fiduciary duties. We also vigorously defend our financial services clients in various types of claims, including employment matters, defamation and intra-industry disputes.

YOUR Issues
Our attorneys pride themselves on having a comprehensive understanding of the sophisticated financial products that are frequently the subject of litigation. We stay ahead of the curve by educating ourselves and our clients about new and complex instruments that may form the basis of future investigations or claims. We have a deep understanding of, and have handled matters involving, structured products, stocks, bonds, mutual funds, exchange-traded funds, annuities, auction rate securities, municipal bond arbitrage, life settlements, initial private offerings, private placements and principal protected notes.

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Representative Matters

  • Recovery of mutual fund losses caused by a public company’s alleged fraud through a shareholder opt-out action.
  • Defense of a shareholder class and derivative suit seeking to enjoin the sale of a snack food company.
  • Trial of a securities fraud action brought against a public company in the environmental waste business.
  • An extended arbitration involving significant claims of selling away brought against a brokerage firm.
  • Defense of a prime brokerage company in state court for its role in an alleged Ponzi scheme.
  • An SEC appeal of NASDAQ’s delisting of a Chinese company.
  • Representing mutual funds in a derivative shareholder action involving the redemption of auction rate preferred securities.
  • Representation of NASDAQ market makers and floor brokers in litigated enforcement claims.
  • Conducting internal investigations on behalf of public company audit committees, banks and other financial services companies regarding financial fraud, accounting issues, loan loss assessment, valuation procedures and numerous other alleged improprieties.
  • Representing investment advisers in SEC investigations involving collateralized debt obligations, private equity funds and compliance policies and procedures.
  • Representation of individuals and firms in SEC financial fraud and insider trading investigations.
  • Representing a broker-dealer in a FINRA investigation regarding Regulation S-P.
  • Representation of a compliance officer in a FINRA investigation concerning Regulation SHO.
  • Representing numerous brokerage firms in FINRA arbitrations involving claims of securities fraud.
  • Representation of a NYSE Arca market-making company in a disciplinary action.
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