Securities

Our litigators have defended companies and individuals in lawsuits alleging violations of the federal and state securities laws, including claims for securities fraud, failure to disclose material information, false disclosures, control person liability, and claims for violations of the laws governing proxy statements. Moreover, we’ve defended both entities and individuals against such allegations in the context of class actions, derivative actions, individual actions, and in arbitration proceedings. We also have represented companies, private equity funds, and individuals involved in investigations by the SEC and by the Massachusetts Securities Division. Such investigations have ranged from investments with entities allegedly affiliated with Bernard Madoff to alleged violations of regulations governing campaign donations by investment advisors, so called “pay to play” regulations.

Our litigators have also conducted internal investigations into allegations of stock option backdating and in the mutual fund area for a Fortune 100 financial services company.