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.
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.