Securities Litigation and Enforcement

Contacts:
Norman J. Blears, Silicon Valley
Ty Cobb, Washington, D.C.
George A. Salter, New York
Daniel F. Shea, Denver
Michael J. Shepard, San Francisco

Our lawyers have vast experience representing public companies and financial services entities, as well as their directors and officers, in shareholder litigation and investigations by government agencies and self-regulatory organizations. We regularly defend public companies and their directors and officers in securities class actions, shareholder derivative actions, and other shareholder actions relating to M&A transactions. We also represent such companies and individuals, as well as broker-dealers, investment advisers, and hedge funds in investigations by the Department of Justice (DOJ), Securities and Exchange Commission (SEC), state attorneys general and securities commissioners, and the Financial Industry Regulatory Authority (FINRA). In addition, lawyers in the group regularly defend accounting firms and their partners and employees in litigation, as well as in SEC, PCAOB, and state accountancy board investigations, and thus, are well-versed in accounting and auditing standards. 

The group's size and experience enable us to handle the most complex matters and resolve them in a cost-effective and efficient manner. Because government investigations often proceed in parallel with securities class actions and/or shareholder derivative actions, our multidisciplinary team is able to develop defense strategies that comprehensively address all risks presented by the various actions. Many of our lawyers are former government prosecutors and have extensive trial experience, giving us the ability to defend our clients in court when necessary. Our firm is one of the few whose lawyers have tried several securities fraud cases, with partners in the group having, for example, obtained a jury verdict for the CEO of JDS Uniphase in one such case.

Our lawyers similarly have extensive experience conducting internal investigations regarding a wide range of accounting, disclosure, and corporate governance issues, as well as regulatory issues faced by financial services entities.

Finally, we frequently develop compliance programs and perform compliance audits for public companies and financial services entities.

In the UK, Continental Europe, and Asia

We have extensive experience representing corporate and financial services entities in shareholder litigation, including derivative actions, and internal and regulatory investigations in the UK, Continental Europe, and Asia. For additional information on our experience and people outside of the United States please see our Financial Services Litigation practice description.