- Represented hundreds of defendants in securities class actions in all stages throughout the country.
- Represented institutional investors in monitoring and/or participating in virtually all securities class actions, regulatory settlements, and other investor settlements.
- Represented institutional investors as plaintiffs in numerous cases involving securities claims.
- Represented mutual funds, investment advisors, and disinterested directors in various suits alleging excessive management fees, breaches of fiduciary duty, and other violations of the Investment Company Act of 1940. Participation in several cases where judicial decisions have established legal precedents in the area.
- Represented an officer who signed Sarbanes-Oxley certifications with respect to numerous financial statements that were subsequently restated, in which the SEC was convinced not to take any action.
- Represented issuers, officers, directors, and employees in investigations relating to alleged financial fraud with respect to SEC filings, Sarbanes-Oxley certifications, shareholder reports, and press releases.
- Tried various FINRA cases, including representation of a branch manager in a lengthy FINRA arbitration proceeding regarding alleged “failure to supervise” and related charges in which the panel completely exonerated the branch manager. (The result is unique in that both the respondent broker-dealer and individual broker (represented by other counsel) were held liable for substantial damages.)
- Serve as a FINRA arbitrator.
- Utilized special litigation committees to have numerous derivative suits terminated at an early stage.
- Represented issuers, officers, and directors in investigations relating to alleged “leaks” to investors of “negative information” which was subsequently publicly disclosed.
- Represented institutional investors who allegedly traded on information gleaned from corporate officials or securities analysts prior to the “public dissemination.”
- Represented various individuals (officers, directors, venture capitalists) with respect to certain challenged trades.
- Represented issuers and individuals in investigations relating to trading in unregistered securities.
- Represented issuers in investigations relating to Regulation S.
- Represented issuers who have been victimized by short-sellers.
- Represented investment advisors with respect to issues arising in SEC inspections.
- Represented mutual fund account managers with respect to possible utilization of alleged investment opportunities of funds.
- Represented investment companies in investigations relating to valuation and pricing of portfolios.
- Represented transfer agents and custodians in investigations relating to various issues.
- Represented investment companies and advisers with respect to adequacy of compliance procedures.
- Represented broker-dealers and branch managers in “failure to supervise” investigations.
- Represented individuals with respect to alleged violations of the Investment Company Act of 1940.
- Represented real estate investment trusts, their officers, and trustees in investigations relating to adequacy of loan loss reserves.
- Represented banks with respect to adequacy of certain loan loss reserves.
- Represented CPAs in investigations relating to a wide variety of accounting issues.
- Represented individuals with respect to alleged “prime bank” schemes.
Mintz obtained over $410 million in judgments for institutional clients in the Household International securities litigation settlement. The court and claims administrator did not deny a single claim from a Mintz client.
Mintz has obtained recoveries of several millions of dollars for institutional clients in non-US settlements since the US Supreme Court’s decision in Morrison v. National Australia Bank. These include the Tesco regulatory matter in the UK and Slater & Gordon in Australia.
Mintz obtained over $100 million in recoveries for BP investor clients from a $525 million SEC Fair Fund established for Deepwater Horizon Oil Spill compensation. Recoveries for Mintz clients equaled 100% of their allowed losses.