Services:
- Securities litigation proceedings
- Damages actions by institutional investors
- Rule 10b-5 fraud defense
- Internal investigations
- Shareholder derivative litigation
- Actions against former directors and officers by bankruptcy trustees
- Minority shareholder disputes
- Tender offer and proxy fight litigation
- Rule 16b short-swing profits disputes
- FINRA arbitrations
- Broker-dealer and investment firm representation
- Securities enforcement proceedings
- SEC investigations/responses to administrative subpoenas/Wells submissions
- SEC civil enforcement actions
- Criminal investigations
- State administrative and blue-sky law proceedings
- FINRA enforcement actions
- Class action and complex litigation matters
- Consumer fraud
- Antitrust
- Unfair competition
- Federal and state RICO statutes
- Breach of contract/tortious interference
- Mortgage bank representation
- Securitization disputes
- Actions to compel repurchase of bad loans
- RESPA yield spread litigation
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Corporations and their directors, officers, and financial institutions have been dealt a one-two punch in recent years: expanded securities reform legislation enacted against an unpredictable economy and negative publicity of corporate misbehavior.
The attorneys in Lowenstein Sandler’s Securities Litigation practice handle securities litigation across the country on behalf of both defendants and plaintiffs, including public companies; their officers, directors, and employees; broker-dealers; mortgage bankers/lenders; hedge funds; registered investment advisers; and other institutional and private investors. So in-depth and long-standing is our experience that the firm founded the New Jersey State Bar Association’s Committee on Securities Litigation and Regulatory Enforcement. Our attorneys act as arbitrators for the Financial Industry Regulatory Authority (FINRA), created by the merger of the National Association of Securities Dealers (NASD) and the regulatory committee of the New York Stock Exchange (NYSE).
Our Securities Litigation attorneys seek to expand legal boundaries, whether representing issuer or investor. For example, Lowenstein Sandler litigated the first case to consider the viability of the fraud-on-the-market theory to New Jersey common law fraud claims. In another case, we carefully constructed an argument as to why the newly expanded limitations period under the Sarbanes-Oxley Act did not retroactively apply. The court’s acceptance of this argument made new law in the Third Circuit, which other courts have since followed. In cases like these, our litigators interpret securities law creatively and persuasively, arguing with boldness and innovation—and achieving positive results. An impressive list of published opinions details our significant victories.
Practice Details
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