Securities Litigation

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. We represent clients in private damage suits, government enforcement actions, and self-regulatory organizations' investigations and actions, among other matters:

  • Defense of claimed violations of various regulations including 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
  • Handling issues involving regulatory agencies such as the Securities and Exchange Commission, FINRA, the U.S. Commodity Futures Trading Commission, and the Missouri Securities Division
  • Cases involving charges of fraud or violation, including insider trading, 10b-5 violations, misrepresentations and omissions in the sale of securities, fraudulent reporting of company financial conditions, churning, market manipulations, suitability claims, RICO violations, and violations of stock concentration levels in ERISA plans

Recent Representations

Our securities litigation practice includes representation of broker-dealers and major financial institutions, law firms, and accounting firms that served supporting roles in connection with public offerings of securities. 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
  • Multidistrict litigation involving 10(b)(5) claims
  • Arbitration of customer suitability complaints
Firm Highlights
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David W. Sweeney Represents Advantes Group in $7.2 Million Apartment Project

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Lewis Rice Recognized as Top M&A Firm by BTI Consulting Group

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Lewis Rice Wins $1.5 Million in Compensation for Covington Landowners

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Client Alert

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Brian P. Pezza Quoted in SHRM Articles on Employee Vaccination Status Disclosure and Employer Vaccination Policies

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Lauren R. Carey Creates New Blog for Social Media Influencers

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Michael D. Mulligan Publishes Article in ACTEC Law Journal Comparing Sales to an Intentionally Defective Irrevocable Trust and a to Beneficiary Intentionally Defective Irrevocable Trust

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Neal F. Perryman Named to Missouri’s POWER List in Employment Law by Missouri Lawyers Media

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Supreme Court Limits Ability to Compel Access to Private Property Without Compensation

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Four Lewis Rice Attorneys Named 2022 “Lawyer of the Year” by Best Lawyers

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61 Lewis Rice Attorneys Named Best Lawyers for 2022, 16 Named Ones to Watch

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John C. Bodnar Named BTI M&A Client Service All-Star

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FTC Reverses Course on Treatment of Debt Payoff Under HSR Act

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Client Alert

OSHA’s New Guidance Regarding Indoor Mask Wearing, COVID-19 Vaccination Mandates, Regular Testing of Unvaccinated Workers, and More

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Michael R. Thiessen Recognized as Pro Bono Spotlight by KCMBF for August

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First-Issued Interim Final Rule Gives Guidance on No Surprises Act

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Diversity & Inclusion

Golf Foundation of Missouri Awards First Larry L. Deskins, Sr. Scholarship

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