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Ellen Shapiro

Associate

[email protected]

+1.212.692.6208

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Ellen is a senior associate who focuses her practice on securities litigation, including shareholder class actions and opt-outs, business disputes, investigations, and crisis management. She has experience advising clients in all stages of litigation, including pre-litigation counseling and negotiations, taking and defending depositions, drafting dispositive briefs and other filings, as well as assisting clients through the appeals process. She also has significant experience representing clients in internal investigations and interfacing with various government entities including the U.S. Department of Justice and the U.S. Securities and Exchange Commission. Ellen has represented companies and individuals in a variety of industries, including life sciences and financial services.

Ellen also has an active pro bono practice. To date, she has successfully represented individuals seeking asylum, a Section 8 tenant facing eviction, and a domestic violence shelter.

Prior to joining Mintz, Ellen was a litigation associate at a leading global law firm’s New York headquarters, where she worked on securities litigation and complex commercial cases, including for Fortune 500 companies.

While attending law school, Ellen was a legal intern for a New York-based civil rights lawyer, focusing on First Amendment matters and other issues. She also served on the executive board and as a submissions editor for the Harvard Journal of Law & Gender and as a primary editor for the Harvard Human Rights Journal.

Experience

Securities Litigation

  • Represented a large multinational operator of membership warehouse clubs, and its former executives, securing dismissal of all claims pursuant to the Securities Exchange Act of 1934 arising from allegations that the company misled the public about its performance, among other alleged missteps.
  • Represented wellness company and its board members, securing summary judgment, dismissing all federal securities claims pursuant to the Securities Exchange Act of 1934 and the Securities Act of 1933, as well as a breach of contract claim, arising from merger. Summary judgment affirmed by the Second Circuit.
  • Represented wellness company and its board members, securing dismissal of all federal securities claims pursuant to the Securities Exchange Act of 1934, breach of contract, and common law fraud claims arising from merger.
  • Represented pharmaceutical company and its executives, securing dismissal of all federal securities claims pursuant to the Securities Exchange Act of 1934 and Securities Act 1933, as well as common law claims, in connection with statements concerning pipeline drug. Dismissal affirmed by the Second Circuit.
  • Represented CEO of software company against federal securities claims brought by the U.S. Securities and Exchange Commission concerning milestone payments related to a merger. Achieved favorable settlement for client.
  • Represented financial firm and its executives against Securities Exchange Act of 1934 and Securities Act of 1933 claims in opt-out actions across the country arising out of the 2008 financial crisis.
  • Represented numerous public companies in connection with shareholder demands.

White Collar

  • Represented numerous executives in internal, SEC, FINRA, and DOJ investigations.
  • Represented numerous biotechnology companies in FINRA investigations.
  • Represented numerous biotechnology, life science, and wellness companies in SEC investigations.
  • Represented individual in university-led investigation into, inter alia, allegations of research misconduct and fraudulent statements.
  • Conducted internal investigation of private equity-owned portfolio company, assessing whistleblower’s pay-for-play allegations.
  • Conducted internal investigation of start-up, assessing potential violations of various federal and state laws.

Business Disputes

  • Represented members of an asset management company in dispute concerning put option and redemption rights in ICDR arbitration. Achieved favorable settlement for clients.
  • Represented private equity investor in pre-litigation business dispute with former CEO of wellness-space portfolio company.
  • Represented funds in business dispute concerning alleged trademark violation and breach of non-disclosure agreement. Achieved favorable settlement for clients.
  • Represented a boutique investment bank focused on clean energy deals in a commercial dispute in an AAA arbitration. The matter was settled favorably on behalf of the client in mediation.
  • Represented board member of public company, securing dismissal of fraudulent inducement claim brought by a shareholder. Dismissal and denial of post-judgment amendment affirmed by the Second Circuit.
  • Represented pharmaceutical company against breach of contract claim concerning contingent value right milestones.
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Case Studies

XpresSpa Case Study Hero Case Study
Mintz represented XpresSpa Group, Inc. before the Second Circuit Court on appeal from the SDNY. Appellants sought to overturn the SDNY decision granting XpresSpa summary judgment and an earlier decision dismissing all of the appellants’ state law claims.
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viewpoints

Last week, the United States Supreme Court granted certiorari in NVIDIA Corp. v. E. Ohman J:Or Fonder AB., Case No. 23-970, to address two fundamental questions about how federal securities fraud cases must be pled to survive a motion to dismiss—an issue that arises in nearly every such case. 

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Public companies need to consider regulatory, legal, market, and ESG-related developments in preparing for their fiscal year-end filings with the SEC and their annual shareholder meetings. In an in-depth memorandum, Mintz attorneys discuss the SEC’s new cybersecurity disclosure rule, recent trends in reverse stock splits, and the SEC’s disclosure requirements for Rule 10b5-1 trading plans and insider trading policies, and other emerging issues affecting public companies.

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The Mintz ESG Working Group created an in-depth primer covering the current landscape of ESG issues businesses are typically confronting. Our attorneys examine a broad spectrum of topics, including the polarization of rulemaking on the state and local levels, regulation and enforcement trends, and DEI policies, to help companies effectively navigate the ESG landscape. 

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Much ink has been spilled about ESG laws and regulations targeted at the investment of public funds, and rightfully so.  Yet, there has been little discussion of novel requirements imposed on banks that simply hold state or local funds as depository institutions.

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Last week, the U.S. Supreme Court solidified the “tracing” requirement for private plaintiffs to be able to assert Section 11 claims pursuant to the Securities Act of 1933, holding that plaintiffs asserting such securities fraud claims must show that they own stock that was issued pursuant to an allegedly misleading registration statement—even though such tracing may be impossible in the context of a direct listing.  In effect, the decision likely protects future direct listings from Section 11 liability so long as the direct listing does not involve a “lock-up period” pursuant to which unregistered and registered shares enter the market at different times.

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Last week, the U.S. Supreme Court paved a path for petitioners to assert constitutional challenges to the structure of U.S. Securities and Exchange Commission (“SEC”) and U.S. Federal Trade Commission (“FTC”) administrative hearings in federal courts.

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In recent years, companies and investment managers have increasingly considered environmental, social, and governance (“ESG”) issues in corporate strategy and decision-making, whether in response to investor pressure or due to self-imposed changes via internal processes.  Indeed, a market has developed for ESG-compliant investments over the past few years.  And while ESG-focused investing is more popular than ever, the topic has become increasingly politically fraught.

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Crypto litigation, fueled by a surge of investors and market volatility, has ballooned in recent years.  For example, numerous securities class actions and government subpoenas followed the May 2022 collapse of the $60 billion Terra network, along with stablecoin TerraUSD and the LUNA token.

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News & Press

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NEW YORK – Mintz is pleased to announce that 18 attorneys have been named New York Metro Super Lawyers and 11 attorneys have been named New York Metro Rising Stars by Super Lawyers for 2023.

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Member Jacob Hupart and Associate Ellen Shapiro co-authored an article published by the American Bar Association discussing ESG and securities litigation.

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Mintz is pleased to announce that 120 firm attorneys have been recognized as leaders by Best Lawyers® in the 2024 edition of The Best Lawyers in America©.

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Members Keith Kollmeyer and Jacob Hupart and Associate Ellen Shapiro co-authored an article published by Law360 analyzing the implications of ESG mandates for banks.

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Members Douglas P. BaumsteinJacob H. Hupart and Associates Will G. McKitterick and Ellen Shapiro authored an article for The Deal discussing divides amongst state legislations regarding the implementation of ESG factors in investment decisions.

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Members Douglas P. BaumsteinJacob H. Hupart, and Securities & Capital Markets Chair and Life Sciences Co-Chair Jonathan L. Kravetz, and Associates Will G. McKitterick and Ellen Shapiro authored an article for the New York Law Journal analyzing the role corporate boards play in monitoring and overseeing a company's operations, particularly in light of the SEC's imminent ESG disclosure rules.

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17 Mintz attorneys have been named New York Metro Super Lawyers and nine Mintz attorneys have been named New York Metro Rising Stars by Super Lawyers for 2022.

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Best Lawyers® recognized 108 firm attorneys in the 2023 edition of The Best Lawyers in America©. Notably, two Mintz attorneys – Poonam Patidar and Scott M. Stanton – received 2023 “Lawyer of the Year” awards, and 28 firm attorneys were included in the inaugural edition of Best Lawyers: Ones to Watch.

This New York Law Journal outside analysis column discusses the rapidly growing cryptocurrency space and how multiple federal and state agencies are trying to regulate these evolving markets. The column is authored by Mintz Members David Siegal and Jason Halperin. Associates Ellen Shapiro and Matthew Novian assisted in the preparation of this column.
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Events & Speaking

Mar
2
2023

Cutting Edge Topics in Private Securities Litigation

Federal Bar Council

Skadden, Arps, Slate, Meagher & Flom LLP, One Manhattan West, New York, New York 10001-8602

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Recognition & Awards

  • Best Lawyers in America "Ones to Watch": Litigation - Securities (2022-2024) 

  • Best Lawyers in America "Ones to Watch": Commercial Litigation (2024)

  • New York Super Lawyers - Rising Stars (2022 - 2023)

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Involvement

  • Federal Bar Council, Program Committee, member
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