Ellen is a senior associate who focuses her practice on securities litigation, including shareholder class actions and opt-outs thereto, business disputes, investigations, and crisis management. She has experience taking and defending depositions, drafting briefs and other filings, as well as 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 an individual 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
- 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 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 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 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 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.
Case Studies
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.
viewpoints
District Courts Will Hear Constitutional Challenges to SEC and FTC Admin Courts
April 19, 2023 | Blog | By Adam Sisitsky , Ellen Shapiro
Navigating Fiduciary Duties amidst the Rise of Anti-ESG Rulemaking
February 15, 2023 | Blog | By Doug Baumstein, Jacob Hupart, Will G. McKitterick, Ellen Shapiro
Caremark Liability Following the SEC’s New ESG Reporting Requirements
December 16, 2022 | Blog | By Jacob Hupart, Doug Baumstein, Jonathan L. Kravetz , Ellen Shapiro, Will G. McKitterick
Opening the Door to the New Beginning
January 10, 2022 | Article
In a multistage pro bono engagement, Mintz represented a young man who fled gang violence in Ecuador in detention hearings after he entered the United States, then helped him obtain state court findings supporting a petition to USCIS for permission to remain in the country in the custody of an aunt.
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The Public Weighs In On How the SEC Should Regulate ESG Disclosures
June 22, 2021 | Blog | By Jacob Hupart, Ellen Shapiro
Two Isn’t Always Better Than One: SDNY Denies Class Certification Where Lead Plaintiff Hired Two Firms
October 21, 2020 | Blog | By Ellen Shapiro
In a scathing decision by the United States District Court for the Southern District of New York, the Court denied class certification of the Allergan securities class action (“Allergan”). See In re Allergan PLC Sec. Litig., 2020 U.S. Dist. LEXIS 179371 (S.D.N.Y Sept. 29, 2020).
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How a Prior DOJ Settlement Doomed a SEC Enforcement Action: A Volkswagen Case Study
September 10, 2020 | Blog | By Ellen Shapiro
The August 20, 2020 decision in In re: Volkswagen “Clean Diesel” Mktg., Sales Practices, and Prods. Liab. Litig., MDL No. 2672 CRB (JSC) by the United States District Court for the Northern District of California (“the Opinion”), dismissing a significant portion of the SEC’s federal securities claims against Volkswagen as having been previously released by the DOJ, serves as an important reminder for why such coordination is important and how defendants may take advantage of the failure to coordinate, as did Volkswagen.
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When A Relationship Is Insufficient: Opting Out of the FX Antitrust Class Action Requires Clear Indication
July 9, 2020 | Blog | By Ellen Shapiro
In ruling on Defendants’ motion to dismiss in the FX Opt-Outs Action, Judge Schofield narrowed the antitrust claims, denied dismissal on the basis of forum non conveniens, and denied dismissal of the unjust enrichment claim.
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News & Press
OpEd: Navigating Fiduciary Duties Amid The Rise Of Anti-ESG Rulemaking
February 14, 2023
Members Douglas P. Baumstein, Jacob 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.
'Caremark' Liability Following The SEC's New ESG Reporting Requirements
December 15, 2022
Members Douglas P. Baumstein, Jacob 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.
Twenty-six Mintz Attorneys Recognized as 2022 New York Super Lawyers and Rising Stars
September 29, 2022
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.
Fraud in Cryptocurrency, and How the SEC Is Applying Federal Securities Laws to Stop It
March 7, 2019
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.
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
Apr
22
2021
Recent Trends in Securities Litigation: What You Need to Know for 2021 and Beyond
Federal Bar Council
Virtual
Sep
16
2020
The Experts on Expert Witnesses: Working with Expert Witnesses from Disclosure through Trial
Federal Bar Council
Virtual
Recognition & Awards
- New York Super Lawyers - Rising Stars (2022)
- Best Lawyers in America "Ones to Watch": Litigation - Securities (2022-2023)
Involvement
- Federal Bar Council, Program Committee, member
Recent Insights
District Courts Will Hear Constitutional Challenges to SEC and FTC Admin Courts
April 19, 2023 |Blog
Navigating Fiduciary Duties amidst the Rise of Anti-ESG Rulemaking
February 15, 2023 |Blog
Members Douglas P. Baumstein, Jacob 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.
