Representative Securities Litigation Experience

Roger Sugarman has consistently earned accolades from lawyer rating services locally and nationally for his work in the area of securities litigation. Most notably, he has been selected multiple times, including most recently in 2015 and 2016, as the "Lawyer of the Year" in Columbus for the areas of "regulatory enforcement litigation and appellate practice" and "securities litigation," respectively, by The Best Lawyers in America. Chambers USA, an objective review service that evaluates attorneys through the eyes of clients, has also recognized his experience in securities litigation and remarked that Roger “has notable expertise representing corporate directors and officers in investigations, enforcement actions and insider trading cases, among other matters.”

Some of his most notable securities litigation case captions are outlined below.

Matter: Christopher Wyche v. Advanced Drainage Systems, Inc., et al., Case No. 15-cv-5955 (S.D. NY)
Representation: Represent CFO of Advanced Drainage Systems in shareholder securities class action against claims arising under the Federal Securities laws.
Status: Pending.

Matter: In re EveryWare Global Inc. Securities Litigation, Case No. 2:14-cv-01838 (S.D. Ohio, Marbley, J.)
Representation: Represent Underwriter defendants, including Oppenheimer & Co, Inc. in securities class action asserting claims under Section 10(b) and 20(a) of the Securities Exchange Act of 1934 and Sections 11 and 12 of the Securities Act of 1933.
Status: Defense Motions to Dismiss Granted and the decision is now on appeal to the U.S. Court of Appeals for the Sixth Circuit.

MatterIn the Matter of the Trading of the Securities in XYZ Corporation
RepresentationRepresent private company President and CEO in SEC investigation relating to insider trading.
Status: Pending.

MatterHelen M. Sarsgard v. Michael D. Costanzo, et al., Case No. 10CV-07-11135 (Franklin County Court of Common Pleas, Frye, J.)
Representation: Represent Chairman & CEO of issuer against claims arising under the Ohio Securities Act.
Status: Jury verdict for plaintiff.

MatterSteven Douglas v. Poe & Costanzo, Case No. CVH 20101147 (Hardin County Court of Common Pleas)
Representation: Represent Chairman & CEO of issuer against claims for breach of fiduciary duty and damages arising under the Ohio Securities Act.
Status: Settled and dismissed.

MatterSecurities and Exchange Commission v. Bancinsurance Corporation, Case No. 09-2155 (D.C. District Court)
Representation: Represent CEO of public company in SEC action relating to internal financial control and financial reporting issues.
Status: Resolved without Trial.

MatterRobert Ross, et al. v. Abercrombie & Fitch Company, et al., Case No. 2:05-cv-00819 (S.D. Ohio, Sargus, J.)
Representation: Represent CEO of Abercrombie, a publicly traded company, in defense of shareholder class action claims against the Company, its executive officers and others, arising under the 1934 Securities Exchange Act.
Status: Settled and dismissed.

MatterThe Booth Family Trust v. Michael S. Jeffries, et al., Case No. 2:05-cv-00860 (S.D. Ohio, Sargus, J.)
Representation: Represent CEO of Abercrombie in shareholder derivative litigation against breach of fiduciary duty claims.
Status: Settled and dismissed.

MatterKathleen Bentley v. Michael S. Jeffries, et al., Case No. 05-cv-01153 (Franklin County Court of Common Pleas, Lynch, J.)
Representation: Represent CEO of Abercrombie in shareholder derivative litigation arising under Delaware state law.
Status: Settled and dismissed.

MatterIn re Cardinal Health, Inc. Sec. Litig., Case No. CZ-04-0575 (S.D. Ohio, Marbley, J.)
Representation: Represent CFO of Cardinal Health, Inc., a Fortune 100 company, in shareholder securities class action based upon claims arising under the Federal Securities laws.
Status: Settled and dismissed.

MatterStaehr v. Walter, et al., Case No. 07-CVG-07-0852, (Delaware County Court of Common Pleas)
Representation: Represent CFO of Cardinal Health, Inc. in shareholder derivative litigation arising under Delaware state law.
Status: Settled and dismissed.

MatterGregory A. Haidet v. Cornerstone International, Inc., et al., Case No. 05-CVH-12-014185 (Franklin County Court of Common Pleas, Sheward, J.)
Representation: Represent corporate defendants against claims arising under the Ohio Securities Act.
Status: Settled and dismissed.

MatterTelephone Service Company, et al. v. Sprint, et al., Case No. 3:04-CV-07405 (N.D. Ohio W.D., Carr, J.)
Representation: Represent directors and officers of Horizon PCS, a publicly traded entity, in securities fraud action arising under the Federal Securities Laws.
Status: Settled and dismissed.

MatterSEC v. Maxwell, et al., Case No. C2-03-064 (S.D. Ohio, Marbley, J.)
Representation: Defend individual defendant in an action brought by the SEC alleging insider trading and violations of Section 10b and Rule 10b-5 of the Securities Exchange Act of 1934.
Status: Defense Motion for Summary Judgment granted.

MatterPharos Capital Corporation v. Deloitte & Touche, LLP, et al., Case No. 03-CV-362 (S.D. Ohio E.D., Marbley, J.)
Representation: Represented Investment Bank in multi-district 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 relating to $15 mm Preferred Stock Offering.
Status: Settled and dismissed.

MatterSEC v. Von Christopher Cummings, et al., Case No. C2-02-629 (S.D. Ohio, Graham, J.)
Representation: Defend individual in SEC enforcement action alleging violations of anti-fraud provisions of 1934 Securities Exchange Act.
Status: Settled and dismissed.

MatterMedallion Capital Inc. v. Mark Fixler, et al., Case No. C2-99-1390 (S.D. Ohio, Holschuh, J.)
Representation: Defend director/officer against securities fraud claims arising under the 1934 Securities Exchange Act.
Status: Resolved prior to trial.

MatterSEC v. P. Joseph Vertucci, et al., Case No. 5:99CV0426 (N.D. Ohio, Polster, Jr.)
Representation: Represent individual charged with securities fraud under 1934 Securities Exchange Act.
Status: Resolved prior to trial.

MatterIn re: Future Healthcare Securities Litigation, Case No. C-1-95-180 (S.D. Ohio, Weber, J.)
Representation: Successfully defended individual shareholder in a shareholder securities class action against Company officer, directors and “insiders” alleging violations of the 1933 Securities Act, including claims that client was a “controlling person” under federal securities laws.
Status: Summary Judgment in favor of defendant and case dismissed.

MatterRothstein v. Borror, et al., Case No. C2-95-746 (S.D. Ohio, Sargus, J.)
Representation: Represent outside directors of a publicly traded company in a securities class action alleging fraud in connection with the Company’s IPO.
Status: Resolved prior to trial.

Matter: In re Gibson Greetings Securities Litigation, Case No. C-1-94-445 (S.D. Ohio, Weber, J.)
Representation: Represent CFO and corporate Treasurer of public company in connection with shareholder fraud claims relating to company’s purchase and sale of derivatives.
Status: Resolved prior to trial.

MatterGergeley v. VanVoorhis, et al., 1989, (Erie County Common Pleas)
Representation: Represent underwriter in shareholder class action alleging fraud and breach of fiduciary duty. 
Status: Resolved prior to trial following appeal to Ohio Supreme Court on class certification issues.

MatterReese v. New England Life Insurance Company, Case No. C2-88-0588 (S.D. Ohio, Smith, J.)
Representation: Represent director/officer in consolidated securities fraud actions against claims arising under the 1933 and 1934 Federal Securities Acts.
Status: Resolved prior to trial.