Securities litigation is a highly specialized, multifaceted area of practice involving the application of complex securities laws. Cases are generally high stakes, involve sensitive matters and can result in substantial damage awards and negative publicity.
Holland & Knight's Securities Litigation Team is experienced in all types of securities litigation and has successfully defended clients against all types of securities claims. Working in concert with skilled practitioners throughout our firm, we handle complex criminal and civil securities litigation matters before courts, arbitration panels and regulators worldwide. Our securities litigators regularly defend large and small public and private companies, their directors, officers, employees, underwriters and affiliates on a broad spectrum of securities matters. Clients include investment banks, underwriters, accounting firms, professional advisers, venture funds, majority shareholders, broker-dealers, exchanges, hedge funds and lenders. Client industries run the gamut and include high tech, hospitality, healthcare, banking and finance, financial services and retail.
Our securities litigators work closely with firm attorneys in related practice areas such as corporate governance, compliance, securities and white collar criminal defense to provide comprehensive, strategic representation. We have represented clients in such matters as:
Our Securities Litigation Team has extensive experience defending issuers, officers, directors and underwriters against claims of securities fraud and breach of fiduciary duty. In fact, we obtained one of the largest reported Rule 11 sanction awards against plaintiffs and their counsel for bringing a frivolous securities class action. Other significant recent successes include:
We have substantial experience handling both criminal securities investigations by the Department of Justice and civil securities investigations by the SEC. With a former SEC Regional Trial Counsel and more than a dozen former federal prosecutors, including the former deputy chief of staff to the U.S. Attorney General, we advise clients based on a combination of extensive legal knowledge and a deep understanding of the government process obtained from our experience. We represent clients in all phases of securities enforcement matters, including informal and formal investigations, testimony, Wells Submissions, negotiated resolutions, and the trial of administrative, civil and criminal proceedings.
Our securities attorneys also work collaboratively with other Holland & Knight lawyers who concentrate in investment management issues and regulatory compliance by broker-dealers and registered investment advisers.
Our team has successfully defended investigations and enforcement actions dealing with virtually every “hot button” SEC enforcement issue, including:
A substantial part of our Securities Litigation practice includes representing brokerage firms, registered representatives, financial planners and investment advisers in securities arbitrations conducted by the FINRA, NYSE, AMEX, CFTC, NFA and AAA.
We have litigated and arbitrated cases on behalf of brokerage firms, mutual fund companies and other financial institutions. These cases have involved claims of fraud, churning, suitability, negligence, negligent supervision, market manipulation, order failures, Regulation T violations, unauthorized trading, wrongful termination, defamation, breach of non-compete covenants and tortious interference claims. Our securities litigators have handled cases involving a variety of securities, including stocks, options, commodities, bonds, derivatives, limited partnerships, mutual funds, collateralized mortgage obligations and annuities.
Our arbitration experience includes both pre-arbitration and post-arbitration proceedings in state and federal courts, the enforcement of arbitration agreements or status quo injunctions and the confirmation, modification or vacatur of arbitration awards. Among our successes was the dismissal of a $34 million NASD arbitration claim against a major brokerage firm prior to an evidentiary hearing.
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