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We provide sophisticated, strategic counsel to navigate the state and federal securities laws.

The Top-Down View

In the highly regulated securities industry, litigation is sensitive, disruptive, and costly, putting both businesses and reputations at risk. Our securities litigators look beyond the legal issues and work with clients to set clear goals. We then lead with a strategy to mitigate the impact on clients’ businesses and reach an advantageous outcome as quickly as possible.

We represent brokerage firms, individual brokers, advisers, and investors in litigation, arbitrations, investigations, and enforcement actions brought by the U.S. Securities and Exchange Commission (SEC), and Financial Industry Regulatory Authority (FINRA).  We have helped clients persevere in SEC investigations, navigate Sarbanes-Oxley and Dodd-Frank, and comply with new rules, regulations and decisions. Our litigators defend clients facing charges of stock price manipulation, insider trading, accounting irregularities and other types of wrongdoing. We also defend corporate officers and directors against claims brought under federal and state securities laws.

Our seasoned litigators bring experience gained at prominent law firms and governmental agencies, such as the SEC and the New York State Attorney General’s Office. The insiders’ perspective gives us valuable insights into the government’s objectives and tactics. Our team possesses the confidence, skill, and savvy to mount effective defenses for matters of any size or scope.

Our Securities practice is led by Steven J. Shore.