Securities Law

The securities litigation group represents public and private corporations and their officers and directors, investment banking firms, commercial banks (foreign and domestic), broker-dealers, investment advisers, clearing firms, commodities firms, public accounting firms, insurance companies, law firms, partnerships, individuals, and trade associations in investigations and litigations involving United States Attorney's Offices throughout the country, the Securities and Exchange Commission ("SEC"), the Commodities Futures Trading Commission ("CFTC"), self-regulatory organizations such as the Financial Industry Regulatory Authority ("FINRA") and arbitral associations such as the New York Stock Exchange ("NYSE"), and the American Arbitration Association (AAA).

Attorneys in the securities litigation group assist clients on:

• Investigations of insider trading and market manipulation
• Purchase and sale of securities
• Soft dollar arrangements
• Accounting misstatements
• Allegations of fraudulent activity
• Anti-money laundering/OFAC issues, including the establishment of internal systems to prevent money laundering
• Takeover bids, tender offers and proxy solicitations
• Securities arbitrations and disciplinary proceedings
• FCPA Issues
• Internal investigations