Attorneys in
our securities litigation practice have extensive
experience in representing companies and individuals in
the broad range of civil and criminal claims brought in
the general area of securities fraud. 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, National Association of Security Dealers’
regulations, Racketeer Influence and Corrupt Organizations
Act (“RICO”), and ERISA. Lewis, Rice & Fingersh’s
securities litigation practice involves representation of
clients in private damage suits, government enforcement
actions, and self-regulatory organizations’ investigations
and actions.
Lewis, Rice & Fingersh’s
securities litigation practice has included representation
of 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 included cases involving charges
of insider trading, 10b-5 violations, misrepresentations
and omissions in the sale of securities by issuers, 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:
Representing major securities firms in
claims of securities violations involving suitability,
excessive trading and stock consolidation levels;
Multidistrict litigation involving
claims of market manipulation from corporate disclosure;
Customer claims of unsuitable
investments and churning;
Attorneys in
our securities litigation practice have extensive
experience in representing companies and individuals in
the broad range of civil and criminal claims brought in
the general area of securities fraud. 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, National Association of Security Dealers’
regulations, Racketeer Influence and Corrupt Organizations
Act (“RICO”), and ERISA. Lewis, Rice & Fingersh’s
securities litigation practice involves representation of
clients in private damage suits, government enforcement
actions, and self-regulatory organizations’ investigations
and actions.
The choice of a
lawyer is an important decision and should not be based upon advertisements
alone.