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Breton Leone-Quick

Member

[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)

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

Four Things to Know About the 2015 SEC OCIE Exam Priorities

January 16, 2015 | Blog | By Breton Leone-Quick

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.
Read more

We’re Changing Our Name and Expanding Our Coverage

January 13, 2015 | Blog | By Chip Phinney, Breton Leone-Quick

We are pleased to announce that we are joining forces with our colleagues in Mintz Levin’s Securities & Capital Markets Practice to provide more comprehensive coverage of all aspects of the federal and state securities laws and regulation, Delaware corporate law, and related topics.
Read more

SEC Scrutiny of Crowdinvesting Sites Not Registered as Broker-Dealers

November 11, 2014 | Blog | By Breton Leone-Quick

On November 10, 2014, the SEC announced a settlement with Eureeca Capital SPC, which is a crowdinvesting portal incorporated in the Cayman Islands.  Eureeca's website seeks to match foreign-based issuers with investors interested in making equity investments. 
Read more

D&O Liability for Data Breaches After Palkon v. Holmes

November 4, 2014 | Blog | By Breton Leone-Quick

Between April 2008 and January 2010, Wyndham Worldwide Corporation suffered three data breaches that resulted in the theft of credit card information of over 600,000 customers. Plaintiff Dennis Palkon later filed a derivative action entitled Palkon v. Holmes in the U.S. District Court for the District of New Jersey.
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By rule, the SEC is required to issue a report on the Commission's administrative proceedings caseload every six months.  On October 29, 2014, the SEC issued its most recent report covering the six month period from April 1, 2014 through September 30, 2014. 
Read more

SEC Uses Data Analytics to Identify and Punish Late Form Filers

September 12, 2014 | Blog | By Breton Leone-Quick, Chip Phinney

Can merely late filing of “routine” forms get you in trouble with the SEC? Yes, at least if it happens too often. On Wednesday the SEC announced charges and financial penalties totaling $2.6 million against 28 officers, directors, and major shareholders for repeated late filing of SEC forms reporting holdings and transactions in company stock, and six publicly traded companies for contributing to filing failures by insiders or failing to report their insiders’ filing delinquencies.
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Just last week, Judge Scheindlin from the Southern District of New York precluded the SEC from seeking wide-ranging disgorgement in an order issued in the SEC v. Wyly, 10-cv-5760 (S.D.N.Y.) case.
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Just yesterday, the SEC announced its first settlement pursuant to its Municipalities Continuing Disclosure Cooperation (MCDC) Initiative.
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Last week we posted a summary of the Second Circuit’s decision in SEC v. Citigroup Global Markets, Inc. This week, as a follow-up, we pose the following five “yes or no” questions and provide responses as a way to further dive into the decision and its potential impacts.
Read more

News & Press

This in-depth article discusses the closely-watched Akorn, Inc. v. Fresenius Kabi AG lawsuit. The decision, allowing a German drug company to pull out of $4.75 billion deal to acquire a U.S. competitor, came from the Delaware Chancery Court – a key voice for businesses and their attorneys. Mintz Members Bret Leone-Quick and Matt Tikonoff are quoted extensively throughout the article providing third-party commentary.
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
Apr
30
2019

The Risk Management Society

Securities Fraud Litigation and the D&O Insurance Market

Boston Convention Center, Meeting Room 052 A – Exhibit Level

Speaker
Speaker
Mar
10
2015