Securities Litigation and Regulatory Enforcement

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Chadbourne & Parke’s securities litigation and regulatory enforcement group has represented entities and individuals in a wide range of securities related matters throughout the United States. The group’s clients have included public and private corporations, accounting firms, banks, brokerage firms and directors and officers of public and private companies.

Chadbourne lawyers have litigated virtually every type of securities case, including numerous class action and derivative cases. Cases have included those involving financial and accounting fraud, Rule 10b-5 claims under the Securities Exchange Act of 1934, claims under the Securities Act of 1933, insider trading, market manipulation, unregistered securities offerings, corporate governance litigation and claims relating to mergers and acquisitions. We have represented clients in civil securities litigation matters in state and federal courts throughout the US, as well as in arbitrations before FINRA, the American Arbitration Association and other arbitral forums.

In addition to representing clients in civil securities litigation matters, Chadbourne has broad experience representing clients in regulatory enforcement matters. We have successfully represented clients in connection with investigations and proceedings conducted and brought by the Securities and Exchange Commission, the Department of Justice, various Self Regulatory Organizations (including FINRA), state Attorneys General and other regulatory agencies. We defend our clients in all aspects of enforcement matters, including conducting the necessary factual investigation, taking steps to satisfy any concerns of the regulators and defending the client should an enforcement proceeding ultimately be brought. Our work has included matters of all types, including those involving accounting irregularities, allegedly improper financing or tax shelter schemes, financial fraud and defalcation of investor funds. We also conduct internal corporate investigations and compliance reviews on behalf of clients, including public companies and financial institutions of all types.

The work of the securities litigation and regulatory enforcement group is supported by Chadbourne’s distinguished litigation and corporate practices. Our interdisciplinary approach insures that clients are serviced in the most efficient and effective manner, taking advantage of the specialized areas of expertise that the firm has. On the corporate side, Chadbourne represents issuers, underwriters and institutional investors in connection with a wide range of capital markets transactions. The firm’s broader litigation practice encompasses a wide range of commercial litigation, including cases involving fraud, insurance, tax, real estate, professional malpractice, derivatives, mergers, acquisitions and other subjects that often arise in the context of securities litigation and regulatory enforcement matters.

Benchmark: Litigation recently named Chadbourne’s securities litigation practice as one of the leading such practices in the United States. U.S. News Best Lawyers lists Chadbourne’s regulatory enforcement practice on their national list of “Best Law Firms.” Chadbourne’s excellent reputation in the marketplace is further verified by its presence on lists of preferred securities litigation defense counsel for insurance carriers.

Representative Experience

Shareholder Class Action
GLG Partners LP
Representation of GLG Partners Inc against shareholder class action seeking to enjoin $1.6 billion merger with Man Group plc.
Fraud Claims Defense
Major Insurance Brokerage Firm
Defense of a major insurance brokerage firm in a series of class action and securities fraud claims filed in the wake of the collapse of an equipment leasing company accused of selling nearly $1 billion of sham securities.
Securities Fraud Defense
Isolagen, Inc.
Defense of the officers and directors of a biotechnology company in securities fraud class-action litigation and derivative suits arising out of the company’s efforts to obtain FDA approval for a certain dermal treatment process.
Securities Fraud Litigation
Rickel Home Centers, Inc.
Defense of some officers and directors and a shareholder of a company in securities fraud litigation in New York federal court, resulting in a ruling denying class certification to the original plaintiff and imposing $45,000 in sanctions against plaintiff’s counsel.
IPO-Related Class Action
Major Telecommunications Company
Defense of a telecommunications company against a consolidated class action arising out of alleged securities fraud committed in connection with numerous IPOs.
Suit Over Failed Buy-Out
Major Consumer Products Company
Defense of securities fraud claims against a consumer products company filed against it by a private equity firm after the failure of a proposed buy-out of the company.
Attempted-Takeover Fraud Claims
American Brands, Inc.
Defense of a corporation against securities fraud class actions and shareholder derivative actions that arose out of its successful defense against an attempted takeover.
Shareholder Derivative Action
American Leisure Group, Limited
Defense of former CFO and former member of audit committee in a shareholder derivative action brought in Florida.
[ more representative experience ]

Related Practice Areas

Alternative Dispute Resolution (ADR)
Bankruptcy and Financial Restructuring
Insurance and Reinsurance

Related Regions

North America

Worldwide Contact

Thomas J. McCormack
New York
+1 (212) 408-5182

Local Office Contacts

Related Information