Locke Lord attorneys provide a full array of legal services to clients faced with securities litigation and enforcement matters. We have extensive experience in all aspects of securities litigation and enforcement and regularly represent publicly traded companies, financial institutions, securities firms, audit committees, officers, directors, underwriters, accounting firms, private firms and individuals in these areas. We understand that securities litigation and enforcement matters often involve a number of related problems that require expert legal attention. Therefore, our securities litigators work closely with attorneys in other practice areas to provide our clients with coordinated legal advice that takes into account the various issues presented.
Defense of Securities LawsuitsSecurities litigation often places careers on the line and puts the company’s assets at risk. We tailor our representation of clients confronting securities claims in class action and individual lawsuits to protect our clients in an evolving regulatory environment. We defend against such claims. In doing so, we have been able to provide solutions including obtaining dismissals of class action lawsuits, dismissals of derivative actions, and litigating cases that are not disposed of at the motion to dismiss stage. As Calvin Coolidge once said: “The business of America is business.” It is not litigation. So, we pursue the most timely, cost efficient case resolution so that our clients can focus on their business.
Securities EnforcementOur attorneys also represent clients in informal investigations, formal investigations and other enforcement proceedings initiated by the SEC, FINRA (formerly NASD), NYSE, Texas Securities Board, and other self-regulatory bodies. Our practice in this area includes responding to subpoenas, representing audit committees and special committees, conducting internal investigations, preparing clients for testimony, preparing “Wells submissions,” preparing White Papers, counseling clients on corrective measures and negotiating with regulatory authorities.
Internal InvestigationsThe Firm represents public companies as well as audit committees and special committees of major companies in connection with internal investigations involving securities law matters. We understand that prompt, thorough, accurate, and independent analysis is crucial when an internal investigation is initiated. We help our clients navigate the regulatory thicket, promote compliance, and assist in all phases of the investigative process. This includes planning the investigation, reviewing documentary evidence, interviewing relevant witnesses, assisting in preparing factual findings and interaction with the auditors. If appropriate, we counsel our clients as to possible corrective actions or recommend actions to further strengthen existing policies, procedures, and/or controls within the company.
Securities ArbitrationsOur attorneys have extensive experience in representing clients in a variety of broker-dealer related disputes before arbitration panels of the FINRA (formerly NASD), NYSE and American Arbitration Association. We have represented clients in arbitration proceedings involving claims of churning, unsuitability, improper margin practices, unauthorized trading, failure to supervise, fraud, and breach of fiduciary duty. We have also represented broker-dealers in fee disputes and breach of contract and employment matters between broker-dealers and registered representatives.
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