Securities litigation, regulation and enforcement

Our global securities litigation, regulation and enforcement team is frequently called upon to assist clients in high-stakes shareholder lawsuits, government enforcement actions, internal investigations, whistleblower claims and shareholder activism matters. Our lawyers have defended domestic shareholder lawsuits involving a number of high profile merger and acquisition transactions, as well as conducting notable cross-border investigations on behalf of international clients.

"Geographic reach allows the team to provide comprehensive representation for clients in multiple industries throughout the USA and internationally." Chambers USA, 2020

We have successfully represented public and private companies, financial institutions, accounting firms, exchanges, hedge funds, investment advisors and individual company officers, directors and employees. Our experience spans a wide variety of key industries and sectors including energy, utilities, transportation, healthcare, medical devices, pharmaceuticals, retail and consumer markets, technology, real estate, investment banking and financial services.

Our clients rely on our global platform, which allows us to respond swiftly, efficiently and strategically to complex litigation challenges around the world. We have vast experience appearing before all levels of courts and securities regulatory bodies in the United States, Canada, the United Kingdom and other financial centers.

Our areas of work include

  • Activist shareholder campaigns
  • Broker/dealer disputes
  • Capital markets
  • Class actions
  • Dispute resolution and litigation
  • Financial services and regulation
  • Investment funds
  • M&A
  • Regulation and investigations, including compliance and disclosures
  • Retail and consumer markets
  • Shareholder derivative disputes
  • Whistleblower complaints

Awards and accolades

  • Chambers USA, Texas: Litigation: Securities (Band 1), Chambers and Partners, 2020 
  • Legal 500 US, Dispute Resolution: Securities Litigation: Defense, The Legal 500, 2020

Contacts

Head of Regulation, Investigations, Securities and Compliance, United States

Knowledge

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Publication

US Department of Justice admits error in insider trading convictions

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Publication

Recent US SEC activity and GFOA best practice on ESG disclosure

News