Securities and Financial Services Litigation
We have handled a wide variety of matters involving state and federal securities laws for individual and corporate clients. We have represented management in the defense of securities law claims in federal and state court and defended claims involving the improper sale of unregistered securities. We have also defended matters for clients in which claims of insider trading, front running, churning of accounts, and negligent investment decisions have been alleged.
We have also successfully represented financial advisors who are under investigation by FINRA (formerly NASD).
We have also brought and defended claims concerning the existence of partnerships and/or joint ventures and other claims in which ownership interests are alleged.
We regularly handle matters before the U.S. Securities and Exchange Commission (in Boston, New York and Washington, D.C.) as well as matters before the Massachusetts Secretary of State Securities Division. We have convinced both the SEC and the State Securities Division that they should not pursue claims against our clients for civil violations of the securities laws. We have also assisted clients in responding to subpoenas for documents and testimony by civil regulatory authorities.
We have represented a hedge fund in bringing claims for breach of contract and business torts arising out of debenture and convertible debenture agreements, loan agreements and asset purchase agreements.
We have represented management and Board members of public companies in defense of claims concerning backdated stock option grants. Our representation has covered federal and state civil actions, SEC investigations and a federal criminal investigation.
We have extensive experience representing clients facing concurrent civil litigation and criminal investigations.