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.


Sort By
Weiss, Harry J.

Harry J. Weiss

Chair, Securities Litigation and Enforcement Practice Group

+1 202 663 6993 (t)

Batter III, John F.

John F. Batter, III


+1 617 526 6754 (t)

Berman, Bruce M.

Bruce M. Berman


+1 202 663 6173 (t)


Mark D. Cahn


+1 202 663 6349 (t)


Paul R. Eckert


+1 202 663 6537 (t)

No Image

Gail Ennis


+1 202 663 6014 (t)

Johnson, Mary Jo

Mary Jo Johnson


+1 617 526 6750 (t)

Publications & News


October 21, 2016

The Manipulation Standard and a Setback for CFTC

An article by Paul Architzel, Anjan Sahni and Matthew Beville, published in Law360, discusses a recent decision by Judge Analisa of the Southern District of New York that provides important protections to market participants engaged in legitimate trading strategies and is a blow to the Commodity Futures Trading Commission's effort to lower the standard for proving price manipulation. 

October 20, 2016

Banking Regulators Release Advanced Notice of Proposed Rulemaking on Enhanced Cyber Risk Management Standards

The agencies are considering establishing two tiers of enhanced standards—basic enhanced standards for all covered firms and even more stringent enhanced standards for systems that are "sector-critical."

October 12, 2016

District Court Judge Rejects CFTC Manipulative Intent Standard

On September 30, 2016, Judge Analisa Torres of the Southern District of New York issued an order resolving competing motions for summary judgment in the Commodity Futures Trading Commission's ongoing action against Donald R. Wilson and his firm, DRW Investments LLC, for allegedly manipulating and attempting to manipulate the settlement price of certain interest rate futures contracts.

October 11, 2016

New SEC Settlements Show Continued Focus on Whistleblower Protection and Severance Agreements

The Securities and Exchange Commission Continues to pursue enforcement actions against companies for whistleblower-related violations. The latest in a recent string of settled orders, which include the SEC's first case based solely on retaliation for whistleblower reporting, further highlight the agency's resolve to prevent corporate actions that could chill reporting of possible legal violations.

October 11, 2016

Former SEC enforcement head joins WilmerHale

An article in the Los Angeles Daily Journal discusses the addition of Lorraine Echavarria to the firm's Securities Litigation and Enforcement Practice.

September 20, 2016

SEC Settlements Put Severance Agreements Under Increased Scrutiny

An article by William McLucas, Harry Weiss, Matthew Martens, Thomas White, Arian June and Elizabeth Skey, published in Bloomberg BNA's Securities Regulation & Law Report, explores two settlements providing the latest examples of the SEC's continued focus on employee confidentiality provisions and the agency's broad application of the whistleblower protection rules.

September 16, 2016

WilmerHale Named Industry's Most Impressive Investigations Practice by GIR

WilmerHale has been named the Most Impressive Investigations Practice of the Year by Global Investigations Review for its cross-border work in both high-profile internal and government-led investigations.

September 12, 2016

Federal Civil Penalties Set to Increase Significantly, Many Present Retroactivity Concerns

Matthew Martens, Reg Brown and Daniel Kearney discuss rules adopted by many federal agencies that significantly increase the maximum civil monetary penalties they can potentially impose in this article published by the Harvard Law School Forum on Corporate Governance and Financial Regulation.

August 17, 2016

SEC Settlements Put Severance Agreements Under Increased Scrutiny

The US Securities and Exchange Commission (SEC) recently announced settlements with two companies for using severance agreements that allegedly violated Rule 21F-17.

August 8, 2016

BNA Insights: Statute of Limitations for Disgorgement Claims in SEC and CFPB Enforcement Actions

This article co-written by Matthew Martens and Benjamin Neaderland, published by Bloomberg BNA's Securities Law Daily, discusses why a landmark decision by the US Court of Appeals for the Eleventh Circuit could significantly decrease the financial exposure faced by targets of SEC enforcement actions.