Rose Law Partners has handled a wide variety of matters involving state and federal securities laws for individual and corporate clients. Our Boston securities litigation attorneys regularly handle matters before the U.S. Securities and Exchange Commission (SEC) in Boston, New York, and Washington, D.C., as well as matters before the Massachusetts Secretary of State Securities Division and FINRA.
We have extensive experience representing clients facing concurrent civil litigation and criminal investigations. Our representation has covered federal and state civil actions, SEC and FINRA investigations, and federal criminal investigations.
Representative Cases: Securities & Financial Services Litigation
Our lawyers have:
- Represented management in the defense of securities law claims in federal and state court and have defended claims involving the improper sale of unregistered securities;
- Defended matters for clients in which claims of insider trading, front running, churning of accounts, and negligent investment decisions have been alleged;
- 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;
- Represented management and Board members of public companies in defense of claims concerning backdated stock option grants; and
- Represented financial advisors under investigation by the Financial Industry Regulatory Authority (FINRA).
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.