Securities and Shareholder Litigation

The Securities Litigation Team at Quarles & Brady understands our clients' need for effective, intelligent representation in this often complicated area of law and regulation. With highly competent attorneys practicing from our offices across the country, we have the depth of experience and resources necessary to handle all of our clients' securities-related disputes. As seasoned trial lawyers, we have represented our clients successfully in federal and state courts, in arbitration and mediation, and before the major regulating bodies.

Our experience covers the full range of securities disputes and litigation, broadly categorized as follows:

  • Securities class actions.
  • Broker-dealer disputes.
  • Corporate control, shareholder rights, and derivative litigation.
  • Regulatory investigations and proceedings.

Securities Class Actions

We specialize in defending securities lawsuits, including class actions. Our attorneys have successfully defended numerous clients in such cases, including companies from the technology sector, financial services and banking institutions, mutual funds, hedge funds, REITS, transportation companies, health care companies, direct sales companies, and companies from other industries.

Our non-issuer clients frequently have included the directors and officers of public companies. And we have successfully defended underwriters, accounting firms, and law firms named as defendants in securities cases.

Broker-Dealer Disputes

We have substantial experience representing broker-dealers and investment advisors in litigation and arbitration. Our team has successfully defended numerous actions filed by investors, as well as disputes between the firms and their employees.

Corporate Control, Shareholder Rights, and Derivative Litigation

We have successfully handled a number of corporate control and shareholder rights disputes, including shareholder derivative cases, proxy litigation, and control contests, as well as disputes involving stock acquisitions and other securities-related corporate transactions.

Regulatory Investigations and Proceedings

Our experience includes the successful representation of clients in a broad range of regulatory matters, including investigations and enforcement actions by the securities exchanges and by federal and state regulators. We have handled regulatory matters involving securities registration issues, insider trading, failure to supervise, underwriting practices, improper sales practices, internet trading issues, limited partnership sales practices, trade executions, floor trading practices, free-riding and withholding issues, and advertising violations.