We often represent clients in securities class actions, shareholder derivative litigation, merger-related litigation, and corporate governance disputes. In these contexts, the firm has experience representing Fortune 500 companies, privately-held companies, and individual officers or directors. We are well equipped to handle the preliminary injunction proceedings and extensive immediate discovery often associated with these cases. The firm also has experience representing public and private companies and not-for-profits with respect to federal or state investigations or enforcement proceedings.
We also have extensive experience in securities litigation and arbitration before the Financial Industry Regulatory Authority (FINRA), as well as in private and FINRA-sponsored mediation of such disputes. We have successfully represented brokerage firms in a full range of customer disputes – including claims of unsuitability, unauthorized trading, churning, breach of fiduciary duty, negligence, fraud and negligent hiring, training and supervision – and we have represented both brokerage firms and individual brokers in industry disputes over raiding claims and the enforceability of restrictive covenants. We have also successfully represented clients in court litigation ancillary to arbitrations, such as motions to compel arbitration and to stay court proceedings pending arbitration and petitions to confirm arbitration awards.