We offer clients the benefit of our in-depth knowledge and extensive experience with all aspects of securities cases. Our attorneys include a former counsel with the Enforcement Division of the Securities and Exchange Commission who led the prosecution of high-profile cases arising under the federal securities laws. In private practice, we have litigated a wide range of securities-related class actions and derivative actions in courts around the country. Examples of matters that we have handled inside and outside the government include:
- Represented a global financial institution in a class action in the Southern District of New York challenging the foreign exchange charges on dividends and cash distributions paid to holders of American Depository Receipts (ADRs).
- Represented mutual fund investment adviser in a securities class action in the Southern District of New York, including a successful motion to dismiss and appeal.
- Represented mutual fund investment advisers in excessive fee derivative suits under the Investment Company Act of 1940, including in a trial and subsequent appeal to the Ninth Circuit Court of Appeals, with our side prevailing in both courts.
- Co-lead counsel for the SEC’s Enforcement Division in an administrative proceeding in a 17-day trial against a manager of mortgage-linked collateralized debt obligations (CDOs).
- Lead counsel for the SEC in an action filed in the Southern District of New York arising out of a price-quotation scheme involving a commodity derivatives trader at a major international bank and his favored brokerage firm.