Securities Law and Litigation

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Successfully represented a publicly-traded international telecommunications company and its officers and directors in connection with an investigation by the SEC, involving allegations of stock option “backdating” and improper accounting. After three years of investigation, the SEC took no action against the company or any of its officers or directors.

 

Recently defended an officer of a publicly-traded company against claims based on allegations that the company misled investors about the FDA approval process.

 

Successfully represented several individuals in connection with investigations and suits based on allegations of insider trading.

 

Successfully represented the seller of a company in connection with claims of securities fraud and misrepresentation against the purchaser of his company which had paid primarily in stock.  The matter was settled favorably with the redemption of our client’s shares at a substantial premium.

 

Successfully prosecuted industry arbitration customer claims against a broker-dealer for lost profits from an improperly busted trade based on proper order instructions made by our client; and in a separate matter against the same broker-dealer, for excessive trading and the improper purchase of unsuitable securities in our client’s account.

 

Successfully defended dozens of industry arbitration customer claims brought against a broker-dealer or its employed registered brokers, under a regional outside counsel program over a period of years.

 

Successfully prosecuted industry arbitration claims, and associated state or federal court claims for injunctive relief, on behalf of a broker-dealer against certain former registered broker employees for: 1) failure of the brokers to re-pay portions of up-front bonuses paid under written compensation agreements used as employment incentives and retention plans;  2) for improperly soliciting customers to leave the broker-dealer in violation of the terms of written employment agreements, and 3) for violation of industry rules and regulations.

 

Represented a corporate officer who was being investigated for possible SEC violations. Our client was not indicted.

 

Represented an attorney in connection with potential SEC violations, resulting in no indictment.