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

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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

Publications & News

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April 8, 2014

WilmerHale Shortlisted for Chambers USA Award for Excellence in IP, Securities and Financial Services Regulation

WilmerHale's Intellectual Property and Securities Departments, and its IP Litigation, Securities Litigation and Enforcement, Broker-Dealer and Financial Institutions Groups have received special recognition by Chambers USA as part of this year's Awards for Excellence program.

April 4, 2014

Some prefer litigation when the SEC calls

An article by Michael Mugmon and Chris Johnstone, published in the April 4, 2014 edition of The Daily Journal.

April 2, 2014

Best Lawyers Recognizes WilmerHale Women Lawyers

For the past twenty years, Best Lawyers has published the special edition of “The Best Lawyers in America,” the nation’s oldest peer-reviewed lawyer publication.

March 13, 2014

Supreme Court Issues Decision Analyzing Whether Misrepresentation is “in Connection with” Purchase or Sale of Covered Security

On February 26, 2014, in Chadbourne & Parke LLP v. Troice et al.,1 the Supreme Court narrowed the definition of “in connection with” as that term is used in the Securities Litigation Uniform Standards Act of 1998 (SLUSA).

March 11, 2014

US Supreme Court Upholds Broad Scope of Sarbanes-Oxley Act Whistleblower Protection

Last week, the US Supreme Court issued an important decision addressing whether Section 806 of the Sarbanes-Oxley Act of 2002 (SOX) (codified at 18 U.S.C. § 1514A) limits protection from retaliation to the employees of public companies, or if it also covers employees of contractors to a public company.

February 5, 2014

Global Anti-Bribery Year-in-Review: 2013 Developments and Predictions for 2014

The year 2013 witnessed several notable developments in the enforcement of the Foreign Corrupt Practices Act (FCPA). In 'Global Anti-Bribery Year-in-Review: 2013 Developments and Predictions for 2014', WilmerHale Partners Roger M. Witten, Kimberly A. Parker, Jay Holtmeier and Erin G.H. Sloane discuss notable trends and developments in 2013 corporate settlements and individual prosecutions, key FCPA legal developments, notable collateral litigation developments, and significant developments in international anti-corruption law.

December 19, 2013

The Lawyer Ranks WilmerHale Among Top 10 Global Litigation Practices

The Lawyer has ranked WilmerHale among the top 10 litigation practices in the world in this year's list of the Global Litigation Top 50—an annual analysis of which of the world's largest firms are generating the most fee income from disputes.

December 10, 2013

Serious Fraud Office Dahdaleh Trial Collapses

On December 10, 2013, the Serious Fraud Office (SFO) offered no evidence in its case against Victor Dahdaleh in relation to allegations of bribery and corruption. With the SFO not presenting any evidence, the judge at Southwark Crown Court in London instructed the jury to return verdicts of not guilty on all eight charges. The jury was then discharged.

November 1, 2013

WilmerHale Among U.S. News – Best Lawyers® “Best Law Firms” and Again Named International Arbitration “Law Firm of the Year”

The 2014 edition of the U.S. News – Best Lawyers® “Best Law Firms” list names WilmerHale as “Law Firm of the Year” in International Arbitration—this is the second consecutive year that the firm has won this honor—and honors WilmerHale as a first-tier law firm in 27 national and 60 metro-area rankings.

October 9, 2013

Former SEC Chief Litigation Counsel Matthew Martens to Join WilmerHale

WilmerHale is pleased to announce that Matthew Martens will be joining the law firm as a partner in its Securities and Litigation/Controversy Departments.