Securities Litigation

Experienced lawyers ready to navigate the complex universe of securities laws and rules of corporate governance.

Meet the team

Securities litigation often places careers on the line and puts the company's assets at risk. Locke Lord lawyers have extensive experience in all aspects of securities litigation and enforcement. We regularly represent public corporations, financial institutions, individual officers and directors of corporations, underwriters, accounting firms and investment advisers in every area of securities litigation.

Additionally, we often represent banks and other lenders, mortgage companies, bond insurers and credit rating agencies in numerous private class actions and derivative suits alleging misrepresentation and incomplete disclosures.

Defense of Securities Lawsuits

We tailor our representation of clients confronting securities claims in class action and individual lawsuits to protect them in an evolving regulatory environment. In defending such claims, 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.

Securities Enforcement

We represent clients in informal and formal investigations, and other enforcement proceedings initiated by the SEC, FINRA, 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
  • Negotiating with regulatory authorities

Internal Investigations

The Firm represents public companies as well as audit committees and special committees 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. 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 Arbitrations

Our lawyers have extensive experience in representing clients in a variety of broker-dealer related disputes before arbitration panels of FINRA, the NYSE and American Arbitration Association. We represent clients in arbitration proceedings involving claims of churning, unsuitability, improper margin practices, unauthorized trading, failure to supervise, fraud and breach of fiduciary duty.


We understand that securities litigation and enforcement matters often involve a number of related problems that require experienced legal attention. Therefore, our securities litigators work closely with lawyers in other practice areas to provide our clients with coordinated legal advice.

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