Securities Litigation

Morgan is widely recognized as having one of the foremost securities litigation and regulatory practices in the country. For two decades, our attorneys have guided global corporations and financial institutions through a series of “bet the business” securities-related crises, consistently reducing or eliminating their most damaging claims and negotiating favorable resolutions.

Our Practice

From the days of insider trading and corporate raiders in the 1980s, to the recent collapse of the auction-rate and subprime securities markets, Morgan has played a leading defensive role in nearly all high-value securities matters. profile of the modern era. In each case, we have helped our clients respond to fallout, mitigate crises, and successfully resolve public and private litigation and government investigations.

We have experience handling virtually every type of securities-related challenge, including:

Our attorneys represent US and non-US clients in civil and criminal proceedings in US state and federal courts, as well as in administrative proceedings and investigations by US regulatory authorities and self-regulatory organizations. to successfully navigate the maze of litigation that can arise from equity and debt public offerings, as well as earnings disclosures, updates and other adverse developments. We are also frequently contacted by underwriters in individual shareholder or class actions claiming liability for misstatements and omissions in registration statements and prospectuses, as well as by individual members of the board and executive officers who are the subject of securities-related lawsuits. Our extensive experience defending claims arising under virtually every provision of relevant federal statutes, state statutes, and common law has enabled us to help set precedent in this area.

The collective wisdom of our team is formidable. The practice has an extensive bank of experts, including many former federal prosecutors who have invaluable experience dealing with the US Attorney’s offices, the US Department of Justice, and state prosecutors. In particular, our team includes the former Deputy Director of the Fraud Section of the Criminal Division of the Department of Justice, two former Chiefs of the Criminal Division of the New York US Attorney’s Office, two former Deputy Directors of the SEC Enforcement Division , the former Deputy General Counsel of the US Department of the Treasury, former counsel to two SEC chairmen, and former Vice Chancellor of the Delaware Court of Chancery. Many other attorneys have dedicated their careers to defending securities litigation in state and federal courts and before regulatory agencies.

Representing non-US clients, we offer not only insight into the unique legal issues of foreign entities and individuals, but also a sure hand to guide them through the unfamiliar landscape of the US legal and regulatory system. We have significant experience navigating increasingly frequent cross-border crisis situations for our clients, where US securities litigation is often accompanied by other foreign litigation, insolvency or regulatory matters, and in managing the complex interaction between them.

Securities Litigation

Our clients benefit from our deep experience in all stages of the litigation process, including motions to dismiss, class certification, summary judgment, settlements, trials and appeals, as well as before national and international investment arbitration bodies. We defend clients in lawsuits arising under federal and state securities laws, as well as securities-related litigation arising under other legal schemes, including ERISA and the US Bankruptcy Code.

Our practice is different because not only do we have unparalleled experience in the field, but we try cases, including securities cases, and win them. Our team includes litigators who are widely recognized as some of the best trial attorneys in the country. Clients and adversaries know that we are prepared to take cases to trial and that we know how to win, giving us a tremendous advantage both in the courtroom and at the settlement table. In fact, we have successfully brought numerous multi-million dollar cases to verdict in recent years, collectively reducing our clients’ liability by tens of billions of dollars. Due to our track record of achievement, we often become involved in litigation after a class has been certified and a matter heads to trial.

At the outset of each new matter, we engage in comprehensive strategic planning with our clients to manage their risk and exposure and to tailor our strategy to the unique facts of the matter, leveraging our institutional knowledge of securities law and precedent. Because we leverage our previous work so efficiently, we are a highly profitable choice of attorney.

Securities regulatory affairs

Recent years have brought increased regulatory scrutiny and enforcement in the securities arena. We have vast experience dealing with all the agencies and regulatory entities that clients may face. Our attorneys frequently appear before the SEC; before the United States Congress, self-regulatory organizations and independent commissions; and in state Attorney General’s offices from New York to California, representing clients in civil investigations and administrative proceedings. Through both our team’s experience working in government and our frequent appearances before key regulators, we bring credibility and expertise to our clients’ toughest regulatory challenges. We have a proven track record, using creative strategies, of persuading regulators not to take action against our clients when it is not warranted. Just as important, regulators know that when needed, we also have the experience to represent our clients at trial. And we are particularly adept at helping clients navigate inquiries from multiple regulators.

Internal investigations

Our clients also turn to us for sensitive internal investigations. We have handled investigations on topics ranging from alleged accounting irregularities and deficiencies in internal controls, to tax filings and related party transactions, to suspicious business activity and misappropriation of assets. These types of investigations often raise challenging questions about corporate governance, an area in which we are recognized experts. We regularly represent boards of directors by advising them on how to perform their duties in the context of values-related and other issues. We also regularly offer proactive business advice and comprehensive strategic advice on securities litigation and regulatory risk management.

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