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Norton Rose Fulbright
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Securities litigation, investigations and SEC enforcement

Our acclaimed securities litigation, investigations and SEC enforcement practice is frequently called upon to assist clients in high-stakes shareholder lawsuits, SEC enforcement actions, internal investigations, whistleblower claims, and shareholder activism matters. We have successfully represented public and private companies, financial institutions, accounting firms, exchanges, hedge funds, investment advisors, and individual officers, directors and employees.

We represent clients throughout the United States and internationally, in a wide variety of industries, including energy, utilities, airlines, railroads, health care, medical devices, pharmaceuticals, retail, software, construction, real estate, investment banking, and financial services. Our international platform and strong complement of corporate and disputes practitioners in the US and beyond provide our clients a global solution for their securities litigation, investigations, and SEC enforcement needs.

Areas of expertise

Our securities litigation, investigations and SEC enforcement lawyers have extensive experience representing and counseling clients in numerous situations, including:

  • federal securities disputes
  • shareholder derivative disputes
  • merger, acquisition and going private disputes
  • regulatory enforcement actions
  • audit committee, board committee and special committee investigations
  • whistleblower complaints
  • campaigns by activist shareholders
  • broker/dealer disputes

We have defended shareholder lawsuits involving some of the highest-profile merger and acquisition transactions in the country. The securities litigation team has handled numerous federal Rule 10b-5 class actions, state law fraud actions, fiduciary duty claims and corporate governance disputes in venues throughout the nation. We have also conducted cross-border investigations on behalf of boards and audit committees and advised companies facing campaigns by activist shareholders.

Our securities litigators routinely litigate high-stakes cases involving complex and cutting-edge issues, including:

  • mergers and acquisitions
  • going private transactions
  • accounting restatements
  • internal control deficiencies
  • related party transactions, controlling shareholder transactions, squeeze-out transactions, and missed earnings guidance
  • Foreign Corrupt Practices Act and False Claims Act issues
  • financial restatements and accounting issues
  • short sale regulations
  • IPO litigation
  • tender offers
  • proxy contests
  • master limited partnership issues
  • insider trading
  • alleged antitrust and regulatory violations
  • FDA non-approval lawsuits
  • “channel stuffing”
  • executive compensation disputes
  • claims under the Investment Advisers Act and Investment Company Act
  • bondholder litigation
  • breaches of fiduciary duty
  • say-on-pay litigation
  • all aspects of broker-dealer litigation

We have litigated numerous motions to dismiss, motions for class certification, injunction hearings, and appeals. We also routinely represents special committees and independent directors in government investigations, internal investigations, and shareholder litigation arising from such investigations.

During the past several years, the securities litigation, investigations and SEC enforcement team has handled some of the largest internal FCPA and trade sanction investigations in the nation. We also represent boards, independent director committees, and special litigation committees in responding to shareholder demands.

Awards and accolades

  • Legal 500 US, Nationwide: Securities: Shareholder Litigation, The Legal 500, 2016