Securities and Shareholder Litigation

Representative Transactions

Securities Class Actions

  • Defense of national retail chain in nationwide class action lawsuits alleging federal and state securities fraud claims.
  • Defense of national accounting firm in nationwide class action and related litigation alleging state law securities and racketeering violations based on allegedly improper audit procedures.
  • Defense of national truck rental company and its officers in nationwide class actions alleging federal securities law violations.
  • Defense of major savings and loan institution in nationwide class action alleging federal securities law violations.
  • Defense of high-technology company and its officers in nationwide class action alleging federal securities law violations.
  • Defense of audit firm in nationwide class action alleging federal securities law violations.
  • Defense of national banking institution in nationwide class action alleging federal securities law violations.
  • Defense of manufacturer of health care products and its officers in nationwide class action alleging violations of federal securities laws.
  • Defense of Arizona-chartered trust company and its officers in multiple lawsuits alleging violations of federal and state securities laws.
  • Defense of corporate officer of national bank in nationwide class action alleging violations of federal securities laws.


Broker-Dealer Litigation and Arbitration

  • Defense of investment firm in NASD arbitration brought by customer alleging securities fraud and unsuitable investments.
  • Defense of securities brokerage in NASD arbitrations involving claims of negligent supervision of registered representatives engaged in "selling away."
  • Defense of securities broker’s registered representative in NASD arbitration alleging breach of covenant not to compete.
  • Defense of securities brokerage and its registered representative against investor claims of securities fraud and improper investment activity.
  • Representation of securities brokerage in NASD-sponsored mediation of customer dispute.


Corporate Control, Shareholder Rights, and Derivative Litigation

  • Defense of officers and directors of national truck rental company in multiple shareholder derivative actions challenging sales of corporate property.
  • Defense of officers of national retail chain in shareholder derivative action filed in conjunction with a nationwide class action alleging federal securities fraud.
  • Defense of national truck rental company in federal court action alleging federal proxy law violations.
  • Defense of public company in private arbitration with major shareholders alleging violation of registration rights agreements.


Regulatory Investigations and Proceedings

  • Representation of CEO of public company in SEC civil enforcement proceedings.
  • Representation of audit firm partners in SEC investigation related to financial failure of audit firm’s client.
  • Representation of corporate officers in SEC investigation into possible insider trading activity.
  • Representation of securities broker in NASD enforcement proceeding alleging sales of unregistered securities and violation of Rule 15c2-4.
  • Representation of airline and its CEO in SEC investigation of possible federal securities law violations.
  • Representation of high-technology company in NASD inquiry concerning possible securities law violations.
  • Representation of securities broker in NASD enforcement proceeding asserting violations arising out of minimum-or-none offering.