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Securities

Lathrop Gage is highly effective representing clients in actions involving federal and state law securities claims. We have litigated securities law claims in both federal and state courts and in arbitration proceedings before self-regulatory organizations, including the National Association of Securities Dealers and the New York Stock Exchange.

We have also represented our securities clients in investigations and other regulatory proceedings before the Securities and Exchange Commission and the securities divisions of various states. Our experience includes the representation of broker-dealers in recruiting disputes arising out of the hiring of registered representatives from other broker-dealers.

Representative Experience:

  • Represented a chief executive officer, director and majority shareholder in multiple securities class actions and purported derivative actions brought in both state court and federal court in connection with going private transaction against allegations of breach of fiduciary duty and aiding, abetting breach of fiduciary duty and securities law claims.
  • Successfully represented a bank in a multimillion-dollar class-action lawsuit against the bank and certain directors of a public corporation alleging 10b-5 violations based on conspiracy and aiding and abetting claims.
  • Represented a regional accounting firm in a multimillion-dollar 10b-5 suit alleging fraudulent financial statements used in connection with the acquisition of a public company, in which a favorable settlement was obtained after partial summary judgment was entered in favor of our client.
  • Obtained defense verdict at trial in customer action against broker-dealer alleging 10b-5, common law fraud, state blue sky, breach of fiduciary duty, unsuitability and churning claims.

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