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Securities Litigation

Maintaining a Focus on Your Business

​When a company ― or anyone on its executive team ― is facing a regulatory inquiry, securities class action, or shareholder derivative suit, maintaining focus on business plans and priorities is challenging. We understand the magnitude of what's at stake. We'll help you resolve the matter ― often quietly, without publicity. That’s why clients like Apollo turn to Mintz when their M&A activity gives rise to securities litigation. 

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Our Experience

Case Study
Mintz secured two MA federal court wins and one at the First Circuit for Vertex Pharmaceuticals, Inc. and several senior executives in a securities case about clinical trial result disclosures. The decision clarified the First Circuit standard for pleading scienter in securities fraud cases.
Case Study
Mintz’s victory in a trial before the SEC’s Chief Administrative Law Judge cleared a former State Street executive of charges related to the Dodd-Frank Wall Street Reform and Consumer Protection Act. After the SEC overturned the decision, the First Circuit’s reversal of the Commission made new law.

Our Approach

Our approach is pragmatic and flexible. And it's always tailored to an end-game strategy that matches the nature of the proceeding with our client's broader regulatory and business position. We're known for our ability to take tough cases to trial and win. We frequently persuade regulators and prosecutors to walk away from investigations without taking action — or, alternatively, to resolve them on terms favorable to our clients.

We've achieved extraordinary success protecting clients from a broad range of investigations and enforcement actions initiated by the Securities and Exchange Commission, Department of Justice, Financial Industry Regulatory Authority, state attorneys general, and other regulators and agencies. These matters range from informal inquiries and formal investigations to administrative and judicial enforcement proceedings.

​Sweet Spots
  • Securities class actions and derivative actions
  • Private equity and portfolio company litigation
  • M&A deal litigation
  • Internal investigations
  • Delaware Chancery Court proceedings
  • Regulatory enforcement
​Experience
  • Accounting issues
  • Financial fraud
  • Broker-dealer issues
  • Complex financial products
  • Criminal issues
  • Disclosure issues
  • D&O liability
  • False Claims Act (FCA)
  • Fiduciary duty
  • Insider trading
  • Investment company issues
  • Advisor issues
  • Options issues
  • Trading issues
  • Foreign Corrupt Practices Act (FCPA)
  • Risk avoidance strategies and counseling
​Clients

We represent public and private companies, directors and officers, special committees, audit committees, fund managers, investment advisors, mutual funds, broker-dealers, and other capital markets participants in both civil and criminal proceedings.

Tried Cases to Verdict

Of the thousands of securities class actions filed in the US since 1995, only fourteen have been tried to verdict—and we have successfully tried two of these fourteen cases.

Institutional Investor Class Action Recovery

Mintz's Class Action Monitoring and Recovery practice has helped our clients recover almost $7 billion, including several hundred million dollars in 2017 alone. We represent mutual funds, institutional investors, public pension funds, trusts, investment advisors, and individuals as claimants in securities and antitrust class actions and regulatory settlements throughout the nation. We also represent clients by evaluating participation in non-US investor actions and settlements, which have ballooned throughout the world in the wake of the Supreme Court's Morrison decision.

Our blog —Class Action Recovery for Mutual Funds— provides insight, news and analysis for mutual funds, investment advisors and institutional investors.

Institutional Investor Class Action Recovery Focus Areas
  • Monitor pending and settled securities class actions in the US and worldwide
  • Prepare and file proofs of claim in a timely and accurate fashion
  • Evaluate client transactions; provide an independent analysis of the pros and cons of filing individual US actions and/or participating in foreign actions
  • Advise clients on whether to object to proposed settlements or attorneys’ fees applications, and on whether they should opt out of the class and file an individual action
  • Advise clients on whether they should opt out of the class and file an independent action
  • Monitor SEC and other regulatory investor settlements, many of which are not widely publicized

What Our Clients Are Saying

Meet Mintz

Our team has defended clients in a broad range of investigations and enforcement actions — ranging from informal inquiries and formal investigations to administrative and judicial enforcement proceedings.