Plaintiffs and enforcement agencies are increasingly targeting directors and officers and their companies in class actions, derivative actions, enforcement matters and government investigations alleging misrepresentations in securities filings. State securities enforcement divisions are regularly keeping a lookout for corporate fraud, trading violations and unsuitable recommendation practices. Meanwhile, securities law issues are growing more prevalent in private investment funds and complex derivative investments disputes.
Our securities litigators help clients limit exposure from the earliest phases of an internal investigation through complex litigation. By using their deep knowledge of state and federal securities laws and leveraging longstanding and valuable relationships with federal and state regulators, our team of attorneys, which includes many former federal and state prosecutors, are ready to serve your needs.
We have successfully represented companies and their executives through an extensive evolution of securities actions up through and after the financial crisis of 2008. This includes matters involving analyst conflicts, software revenue recognition, market timing in mutual funds, stock-option backdating, residential mortgage-backed securities, LIBOR manipulation, China IPO issues and a host of complex derivative investments such as CDOs. We’ve successfully protected our clients’ interests in securities class-action suits, shareholder derivative claims, state and SEC investigations and enforcement actions and FINRA arbitrations.
Our veteran trial lawyers and investigators are very experienced in helping individuals and businesses navigate complex state and federal securities investigations and litigation. We understand our clients’ businesses and recognize the high financial and personal costs that prolonged disputes have on corporate performance and individual lives. We leverage our extensive experience and knowledge to generate the best results for clients confronting high-stakes securities matters.
Massachusetts Lawyers Weekly | September 24, 2020
This article covers the work of Boston Government Investigations & White-Collar Defense partner Rob Fisher and associate Scott Seitz in getting the Financial Industry Regulatory Authority (FINRA) to drop a lifetime ban for their client, after convincing the SEC that further proceedings were required. The story quotes both Rob and Scott.
Law360 | August 12, 2020
This article covers an NP client who will avoid prison time, based on prosecutors’ sentencing memorandum, after admitting to participating in a securities fraud scheme. This article mentions Boston Government Investigations & White-Collar Defense partner Brian Kelly and associate Charles Dell’Anno for representing the client.
Law360 | August 12, 2020
This article covers an NP client who received an “unprecedented discount” from the judge for his cooperation, getting just one year of prison time after admitting to participating in a securities fraud scheme. The client, who also tipped off federal prosecutors to the sprawling college admissions case, is represented by Boston Government Investigations & White-Collar Defense partner Brian Kelly and associate Charles Dell’Anno.
Forbes | August 12, 2020
This article covers an NP client who received an “unprecedented discount” from the judge for his cooperation, getting just one year of prison time after admitting to participating in a securities fraud scheme. The client, who also tipped off federal prosecutors to the sprawling college admissions case, is represented by Boston Government Investigations & White-Collar Defense partner Brian Kelly and associate Charles Dell’Anno.
Wall Street Journal | August 12, 2020
This article covers an NP client who received an “unprecedented discount” from the judge for his cooperation, getting just one year of prison time after admitting to participating in a securities fraud scheme. The client, who also tipped off federal prosecutors to the sprawling college admissions case, is represented by Boston Government Investigations & White-Collar Defense partner Brian Kelly and associate Charles Dell’Anno.
Law360 | August 06, 2020
This article, covering a judge’s order to delay the first college admissions trial until February due to the coronavirus pandemic, mentions Boston Government Investigations and White-Collar Defense partner Brian Kelly and associates Lauren Maynard and Joshua Sharp for representing one of the defendants in the first trial.
Reuters | March 26, 2020
Boston co-office managing partner Kathleen Ceglarski Burns, a partner in the Complex Commercial Disputes group, provides insight on a possible uptick in SEC enforcement activity in the wake of the coronavirus crisis and the new federal stimulus package.
The Bond Buyer | June 12, 2019
In the following coverage, Boston Government Investigations and White Collar Defense partner Brian Kelly is quoted regarding the favorable district court decision for Nixon Peabody’s client, a Wells Fargo banker cleared of charges related to his role in the bond transaction for 38 Studios. The team on this matter also included partners Kathleen Ceglarski Burns, Stephen LaRose and Steven Richard, associate Charles Dell’Anno and paralegal Kanda Faye.
The Providence Journal | June 12, 2019
In the following coverage, Boston Government Investigations and White Collar Defense partner Brian Kelly is quoted regarding the favorable District Court decision for NP’s client, a Wells Fargo banker cleared of charges related to his role in the bond transaction for 38 Studios. The NP team on this matter also included partners Kathleen Ceglarski Burns, Stephen LaRose and Steven Richard, associate Charles Dell’Anno and paralegal Kanda Faye.
Compliance Week | February 10, 2019
This story features New York City Corporate partner Dan McAvoy’s analysis of the factors that prompted a new SEC risk alert outlining proper procedures for investment advisers.
National Law Journal | August 21, 2018
Boston Government Investigations & White Collar Defense partner Brian Kelly is quoted in this story on his ongoing representation of Thornton Law Firm in a dispute over billing in a securities class action case.
Business Insurance | March 26, 2018
Rochester commercial litigation partner Carolyn Nussbaum is quoted in this article on the impact of a recent Supreme Court ruling that upends a set of 1995 reforms to the process of securities-offerings litigation.
