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Breton Leone-Quick

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[email protected]

+1.617.348.4832

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Bret serves as a trusted advisor to public companies and companies in the financial services industry in litigation matters and regulatory investigations. His understanding of the federal securities laws and regulations and experience with Delaware corporate law allow him to steer deftly through complex crises and disputes — sometimes enabling clients to avoid litigation or regulatory action. As a litigator, Bret has served as a lead trial counsel in both state and federal court actions, as well as numerous mediations and arbitrations. He has also successfully represented clients on appellate matters.

Bret practices in the firm’s litigation section, and has significant experience representing public companies, including their officers and directors, and clients in the financial services industry, including:

  • Hedge funds and fund managers;
  • Other Investment Advisers (including managers of mutual funds, general partners of private equity funds, and wealth management firms) and their officers, directors, principals, and employees;
  • Broker-dealers, including their officers and/or principals and registered representatives;
  • Investment bankers and other financial advisors;
  • Transfer agents; and
  • Issuers and distributors of variable annuity contracts.

Bret has represented these individuals and entities in various contexts, including SEC investigations, FINRA inquiries and investigations, Department of Justice investigations, investigations by the Massachusetts Securities Division, arbitrations, and in private civil litigation (on both the plaintiff side and defense side) at both the trial court and appellate court level.

In addition to his substantial experience representing clients in connection with the federal securities laws, Bret has also successfully defended clients in cases brought pursuant to the Federal False Claims Act.

Bret frequently advises public and private companies, and their officers, directors, and employees, in securities litigation and in SEC and internal investigations. In addition, Bret frequently advises officers, directors, and public and private companies on corporate law, corporate compliance, and risk management issues. As part of this representation, Bret has helped establish, design, and revise corporate compliance programs and policies, and has counseled dozens of clients on their records management obligations.

Education

  • University of Michigan (JD)
  • Wesleyan University (BA, English)

Experience

  • Led investigation for the Audit Committee of a leading medical device company into financial reporting, regulatory compliance issues, and allegedly corrupt practices in business units on four continents. Supervised accounting restatement of distributor transactions and reserves over several reporting years.
  • Favorably settled a dispute arising out of undue influence and other trust and estate related issues between family members.
  • Won a complete dismissal of a $360 million class action lawsuit alleging violations of RICO and the laws of over 25 states brought against one of the nation’s leading laboratories.
  • Represented a digital solutions company in connection with noncompete related employment disputes with its former employees and its competitor. Mintz successfully acquired first a temporary restraining order and then a preliminary injunction order to enforce the confidentiality, nonsolicitation, and noncompetition provisions in the employee agreements those employees had entered with the company.

Recognition & Awards

  • The National Law Journal and Connecticut Law Tribune: Rising Star (2014)

Involvement

  • Co-Editor, American Bar Association Securities Litigation Journal
  • Co-Editor, Securities Litigation & Compliance Matters blog
  • Member, Community Impact Committee, United Way of Massachusetts Bay and Merrimack Valley
  • Board of Directors, Central Square Theater in Cambridge, Massachusetts

Recent Insights

News & Press

Viewpoints

As our clients and friends know, each year Mintz Levin provides an analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange Commission (the “SEC”) and their annual shareholder meetings.

Can Equity Crowdfunding Work?

December 15, 2015| Blog

Our Venture Capital & Emerging Companies practice group analyzed the SEC's recently released equity crowdfunding rules (referred to by the SEC as "Regulation Crowdfunding") in a concise and easy-to-digest article authored by Sam Effron and Kristin Gerber.
As originally reported on our Privacy & Security Matters blog, Mintz Levin will sponsor a webinar on September 30 at 1:00 p.m. (ET) to address regulatory compliance and risk management aspects of cyber attacks and data breaches at financial institutions and their service providers.
Mintz Levin’s Institutional Investor Class Action Recovery practice recently launched a new blog: Class Action Recovery for Mutual Funds.  This new blog will report on various happenings in class action cases that may not be covered in other securities litigation blogs or publications, and that will be of special interest to institutional investors.
A recent decision by Judge F. Dennis Saylor of the U.S. District Court for the District of Massachusetts, Butler v. Moore, C.A. No. 10-10207-FDS U.S. Dist. LEXIS 39416 (D. Mass. Mar. 26, 2015), offers an example of how fiduciary duties can continue to govern the conduct of participants in a closely held corporation or LLC under Massachusetts law, even where parties claim that those duties have been abrogated by contractual agreement. 
Last week, the National Association of Bond Lawyers held its 13th Annual Tax and Securities Law Institute. Some of the panels included current and former employees of the SEC who spoke on several of the more notable recent developments with respect to enforcement actions in the Municipal Securities space.
Last week, the National Association of Bond Lawyers held its 13th Annual Tax and Securities Law Institute.  Some of the panels included current and former employees of the SEC who spoke on several of the more notable recent developments with respect to enforcement actions in the Municipal Securities space.
Our friends over at Floyd Advisory recently released their Summary of Accounting and Auditing Enforcement Releases for the Year Ended December 31, 2014.
Please join us at 12:30 p.m. on March 10, 2015 for a webinar titled, "Preparing for and Addressing Activist Shareholders: A Case Study from the Valeant/Pershing Square Bid for Allergan." 
On January 13, 2015, the SEC's Office of Compliance Inspections and Examinations issued its Examination Priorities for 2015.  Among the various priorities, these four issues stood out.

News & Press

Mintz represented Right Networks in selling a controlling interest in the company to BV Investment Partners, a middle-market private equity firm focused on the business services and IT services sectors. 
Mintz Members Thomas Burton and Breton Leone-Quick helped author SEC Compliance Best Practices, 2016 ed., in which “expert lawyers offer guidance on the various regulations and latest trends” pertaining to the SEC and their impact on companies and their counsel.

Events

Speaker
Mar
10
2015