Securities Litigation LITIGATION/CONTROVERSY

We defend federal and state securities claims against entities and individuals, and derivative and other claims against corporations and their officers and directors. These claims address areas such as prospectus and other disclosure obligations, restatements, mutual fund trading and marketing, broker-dealer duties to clients and counter-parties, fiduciary duties and insider trading. Many of the over 300 securities class actions that we have defended have been for technology companies (including high-tech, biotech and pharmaceutical companies). We also have substantial experience in representing investment banks, broker-dealers and other securities industry participants, investment advisory and mutual fund companies, life insurance and other financial services firms, REITs, and retailers. In recent matters, our lawyers have:

  • Defended mutual fund advisers in the consolidated Market Timing multidistrict litigation (MDL) proceedings, class and institutional investor claims regarding investment advisor fees, and class actions concerning mutual fund marketing practices
  • Taken a leadership role in the defense of over 300 consolidated securities class actions—the IPO Laddering Litigation—and separately obtained the dismissal of class actions against an underwriter challenging IPO allocations and alleged IPO flipping
  • Represented an investment bank in its successful appeal to the Second Circuit of a $164.5 million jury verdict for losses sustained in a nondiscretionary currency trading account

For more on our securities practice, please see our Securities Department pages.

Contacts

Sort By
Weiss, Harry J.

Harry J. Weiss

Chair, Securities Litigation and Enforcement Practice Group

+1 202 663 6993 (t)

harry.weiss@wilmerhale.com

Batter III, John F.

John F. Batter, III

Partner

+1 617 526 6754 (t)

john.batter@wilmerhale.com

Berman, Bruce M.

Bruce M. Berman

Partner

+1 202 663 6173 (t)

bruce.berman@wilmerhale.com

Cahn_Mark

Mark D. Cahn

Partner

+1 202 663 6349 (t)

mark.cahn@wilmerhale.com

Curtis, Douglas

Douglas Curtis

Partner

+1 212 230 8802 (t)

douglas.curtis@wilmerhale.com

Eckert, Paul R.

Paul R. Eckert

Partner

+1 202 663 6537 (t)

paul.eckert@wilmerhale.com

No Image

Gail Ennis

Partner

+1 202 663 6014 (t)

gail.ennis@wilmerhale.com

Johnson, Mary Jo

Mary Jo Johnson

Partner

+1 617 526 6750 (t)

maryjo.johnson@wilmerhale.com

Publications & News

View

October 28, 2014

What is the Statute of Limitations for a UDAAP Claim Under the Federal Consumer Financial Protection Act?

An article by Matt Martens, Jamie Dycus and Daniel Kearney, published in the October 28, 2014 edition of Bloomberg BNA's Banking Report, Vol. 103, No. 891.

October 27, 2014

United States: handling internal investigations

WilmerHale attorneys from the Investigations and Criminal Litigation and Securities Litigation and Enforcement Practices co-authored a chapter in the inaugural edition of Global Investigations Review’s "The Investigations Review of the Americas 2015."

October 24, 2014

Partner Mary Jo Johnson Recognized Among Massachusetts Lawyers Weekly Top Women of Law

Massachusetts Lawyers Weekly has named Partner Mary Jo Johnson to its annual list of Top Women of Law, which honors women in the legal industry who have made inspiring contributions in their fields.

October 17, 2014

Manufacturing Trouble: Is cGMP the Next Enforcement Frontier?

An article by Emily Schulman, Michael Bayer and Joshua Sharp, published in the October 17, 2014 edition of Bloomberg BNA's Pharmaceutical Law & Industry Report, Vol. 12, No. 41.

October 9, 2014

SEC Enforcement Actions Emphasize Importance of Stock Ownership Reporting Obligations for Public Companies and Insiders

On September 10, 2014, the Securities and Exchange Commission announced charges against 28 officers, directors and major stockholders of public companies for violating Section 16(a) and/or Section 13(d) of the Securities Exchange Act of 1934, as amended.

October 6, 2014

Claim Constructions In PTAB Vs. District Court

An article written by Jacob Oyloe, James Dowd and David Cavanaugh published by Law360 on October 6, 2014.

October 1, 2014

Sentencing of Corporate Offenders in the UK: A Practical Guide

On 1 October 2014, the Sentencing Council's Definitive Guideline for Fraud, Bribery and Money Laundering Offences came into force, providing for the first time a framework for the sentencing of corporate offenders in the UK.

August 4, 2014

Unnoticed Supreme Court Decision Could Narrow Securities Fraud Law

An article by Matt Martens and Mark Cahn, published in the August 4, 2014 edition of Bloomberg BNA's Securities Regulation & Law Report, Vol. 46, No. 1510.

July 2, 2014

DC Circuit Issues Major Ruling Affirming Broad Applicability of Attorney-Client Privilege to Corporate Internal Investigations

On June 27, 2014, the US Court of Appeals for the DC Circuit issued a major decision clarifying the scope of the attorney-client privilege as applied to corporate internal investigations.

June 25, 2014

US Supreme Court Decides Closely Watched Case on ERISA "Stock Drop" Class Actions

In Fifth Third Bancorp v. Dudenhoeffer, a decision written by Justice Breyer, the US Supreme Court unanimously held that plan fiduciaries are not entitled to any special “presumption of prudence” under the Employee Retirement Income Security Act of 1974 (ERISA) when they decide to buy or hold employer stock in an employee stock ownership plan (ESOP).