Securities Litigation

Mintz Levin has compiled an extraordinary record of success representing issuers, officers, directors, accounting firms and underwriters in a wide variety of high-stakes securities cases, including class actions, Securities and Exchange Commission (SEC) matters and National Association of Securities Dealers (NASD) arbitration proceedings. In many ways, however, we believe that we provide the most valuable counsel to our clients before problems arise. In our experience, a proactive plan of action developed through prompt consultation and thoughtful, calculated decision-making, greatly diminishes the likelihood of adverse outcomes.

Several distinctive aspects of Mintz Levin's securities litigation practice deserve mention. First, Mintz Levin has a national practice involving SEC investigations. Second, Mintz Levin maintains an active practice representing mutual funds as plaintiffs in securities litigation. This work focuses primarily on privately negotiated transactions and does not adversely affect our defense clients. Third, we have extensive experience representing institutional investors as members of class actions; we evaluate the progress of these suits and closely scrutinize the proposed settlements. 

Areas of Expertise
Mintz Levin has represented both public and private companies in all types of securities litigation involving the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1940, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. We also have extensive experience in the defense of investigations and proceedings initiated by the SEC, the New York Stock Exchange (NYSE), the NASD and state securities divisions.

The types of cases include:

•  Defense of securities class actions
•  Defense of SEC investigations and proceedings
•  Defense of derivative suits
•  Representation of institutional investors as plaintiffs
•  Defense of matters involving alleged insider trading, and/or short swing profits
•  Corporate control litigation
•  NASD, NYSE arbitrations