Practice III · Class actions, enforcement, and the investigations in between
Securities Litigation & Enforcement
We defend issuers, boards, and executives in securities class actions and government investigations — and prosecute opt-out and fraud claims for institutional investors when the numbers justify leaving the class.
How we practice it
Securities matters are won early: at the pleadings stage, in the first proffer to the government, in the internal investigation that decides what the record will look like. Our group is led by a former federal prosecutor and staffed by lawyers who have sat on both sides of the table, which changes how regulators read our submissions.
For institutional investors, we run a focused opt-out practice — evaluating whether stepping out of the class will materially improve recovery, and litigating the cases where it will.
Representative matters
Fictional matters shown on a sample site — and past results never guarantee a future outcome.
-
01
Class action dismissed with prejudice
Won dismissal at the pleadings stage of a securities class action against a listed software company following a 40% single-day stock drop; no amended complaint was filed.
-
02
Formal SEC investigation closed — no action
Represented a public-company chief executive through a two-year formal investigation; the staff closed the file without recommending charges.
-
03
3.1× class recovery for opt-out fund
Prosecuted a direct action for a sovereign-wealth investor that settled confidentially at a multiple of the per-share class recovery.