We represent companies as well as individual officers and directors in actions for fraud and misrepresentation brought by shareholders. Clients benefit from Nixon Peabody’s comprehensive, up-to-date knowledge in securities law and investment regulation. Our securities litigators monitor the rapid changes in regulatory, legislative, and judicial environments as they relate to potential civil and criminal exposure.
In disputes involving corporate governance, Nixon Peabody has a proven record of successfully defending against suits attacking discrete transactions and allegations of corporate mismanagement. We have assisted boards in developing litigation strategies and provided counsel to corporations, their directors, officers, and committees in the defense of shareholder derivative litigation. Our experience includes a wide variety of direct, derivative, and class action cases involving fraud, breaches of fiduciary responsibilities, federal securities laws, structured and derivative financial transactions, corporate control contests, and partnership and shareholder disputes.
Broker-Dealer Litigation
Our broker-dealer clients include many of the major brokerage houses, and dozens of regional and local firms. Our expertise ranges from high profile SEC enforcement defense (such as analyst/research conflicts of interest and the joint investigation of Wall Street’s IPO allocation practices by the U.S. Attorney for the Southern District of New York and the SEC), SRO disciplinary matters, and broker/dealer compliance to arbitrating and litigating customer disputes. Our team of attorneys is supported by the firm’s outstanding White Collar Criminal Defense team and nationally recognized securities and corporate departments.
Second Circuit holds that the relevant period for determining a foreign debtor's COMI is the filing of the Chapter 15 petition
Bankruptcy Law Alert | May 15, 2013
Second Circuit holds that Madoff feeder fund's "center of main interests" is located in British Virgin Islands
Private Fund Disputes Alert | May 1, 2013
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Gabelli v. SEC
Securities Litigation Alert
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March 1, 2013
Don't "put the cart before the horse": Supreme Court rejects Amgen's argument that securities fraud plaintiffs must prove materiality of alleged misrepresentations at the class certification stage
Class Action Alert
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February 28, 2013
Can a company director always obtain access to the advice of counsel that was provided to the company?
Commercial Litigation Alert
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February 27, 2013
Stirring muddy waters: siting securities transactions by the point of irrevocable liability
Securities Litigation Alert
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March 8, 2012
The Newest Deputies on Wall Street: Private Citizens—Private Actions No Longer Precluded under New York's Martin Act
Banking and Financial Services Litigation Alert
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December 28, 2011
Supreme Court narrows the scope of persons who can be directly liable under Rule 10b-5 for “making” untrue statements of material fact
Securities Litigation Alert
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June 17, 2011
Supreme Court rejects Fifth Circuit's requirement that securities fraud plaintiffs prove loss causation at the class certification stage
Class Action Alert
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June 8, 2011
SEC adopts final whistleblower rules: implications for internal compliance, governance and employment policies
Securities Law Alert
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May 27, 2011
Practical tips for meeting with credit rating agencies after Dodd-Frank
Securities Law Alert
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May 23, 2011
SEC proposes compensation committee independence and compensation consultant rules
Securities Law Alert
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April 8, 2011
U.S. Supreme Court declines to adopt bright-line rule that adverse drug reaction reports are not material unless they are statistically significant
Securities Litigation Alert
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March 28, 2011
Delaware Court of Chancery upholds use of poison pill by Airgas board
Securities Law Alert
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March 2, 2011
SEC adopts Say-on-Pay rules
Securities Law Alert
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February 4, 2011
SEC proposes changes to accredited investor standards
Securities Law Alert
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January 28, 2011
Regulation FD enforcement: company executives charged for implied messages
Securities Law Alert
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November 5, 2010
SEC proposes Say-on-Pay rules
Securities Law Alert
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October 29, 2010
New York Court of Appeals affirms in pari delicto doctrine to prevent lawsuits against outside advisors
Banking and Financial Services Litigation Alert
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October 27, 2010
Regulation FD—SEC adopts amendment eliminating exemption for disclosures to credit rating agencies
Securities Law Alert
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September 30, 2010
SEC adopts shareholder proxy access rules
Securities Law Alert
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August 31, 2010
Dodd-Frank Act alters preemption rules for national banks and federal thrifts
Banking and Financial Services Litigation Alert
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July 28, 2010
The Dodd-Frank Act executive compensation and corporate governance reforms
Securities Law Alert
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July 23, 2010
Second Circuit holds that retirees’ state law claims against investment advisor are preempted by federal law
Securities Litigation Alert
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July 1, 2010
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