We defend federal and state securities claims against entities and individuals, and class action, derivative and other claims against officers and directors. These claims include breach of fiduciary duty, fraud, disclosure obligations, broker-dealer duties to clients, shareholder disputes and insider trading. We also have experience in representing investment banks, broker-dealers, salespersons and other participants in the securities industry.
In recent matters, our lawyers have:
- Defended an investment bank in multidistrict litigation (MDL) proceedings against institutional investor claims of breach of fiduciary duty and fraud in the sale of securities arising under state and federal securities laws;
- Represented the CEO and CFO of public companies in consolidated securities class actions alleging claims under Section 10(b) and Rule 10b-5 of the Securities Exchange Act.
- Represented individuals and industry participants in federal and state securities enforcement actions and investigations.
Kegler Brown's securities litigation practice group is led by Roger Sugarman and Tom Hill.