Attorneys in our securities litigation practice group have extensive experience in representing companies and individuals in a broad range of civil and criminal claims relating to securities. This representation has included defending against claimed violations of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, state law securities acts, Financial Industry Regulatory Authority (FINRA) Rules, the Racketeer Influence and Corrupt Organizations Act (“RICO”), and ERISA. Our securities litigation practice involves representation of clients in private damage suits, government enforcement actions, and self-regulatory organizations’ investigations and actions. Accordingly, our attorneys are experienced in handling matters with, among others, the Securities and Exchange Commission, FINRA, the U.S. Commodity Futures Trading Commission, and the Missouri Securities Division.
Our securities litigation practice has included representation of broker/dealers and major financial institutions, law firms, and accounting firms that served supporting roles in connection with public offerings of securities. Securities litigation handled by the Firm has also included cases involving charges of insider trading, 10b-5 violations, misrepresentations and omissions in the sale of securities, fraud in connection with reporting financial conditions of companies, churning, market manipulations, suitability claims, RICO violations and violations of stock concentration levels in ERISA plans.
Attorneys in our securities law practice also serve as counsel to numerous businesses and provide a full scope of securities law representation, advice and counsel to numerous public and private corporations and partnerships. Lawyers in our securities practice regularly counsel clients regarding compliance with federal and state securities law, and reporting requirements of self-regulatory organizations.
Examples of securities litigation matters recently handled by the Firm include: