A Closer Look at the Role of a Securities Litigation Attorney

Securities litigation is a complex, specialized field of law. The securities rules are complicated, and instances involving securities sometimes involve delicate issues. Securities claims come with a number of major exposures and risks, including the possibility of receiving significant damage awards and negative press. The prospect of exposure frequently has little bearing on the actual merits of the case.

Securities litigation attorneys have a lengthy track record of effectively defending clients in shareholder derivative cases and securities class actions. Several of these matters have gone to trial, and we have successfully defended many of them via appeals, including to the US Supreme Court, motions to dismiss, motions for judgment over the pleadings, as well as request for summary judgment.

The attorneys have prevailed in numerous securities cases on behalf of officers and directors, investment banks, accountants, underwriters, and analysts, lawyers, venture capital funds, majority shareholders, lenders, and broker-dealers, as well as the California Department of Corporations. From manufacturing, aerospace, technology, healthcare, retail, and entertainment to accountancy, banking, and other financial services, their clients come from a diverse spectrum of industries.

The common occurrences that frequently serve as the basis for a securities class action, a fiduciary duty claim, or a shareholder derivative case are listed below.

  • A change in auditors or a restatement of profits
  • Failure to fulfill analyst expectations or any unexpected incident that shocks the markets
  • Stock option backdating
  • Private placements, bankruptcy, and secondary offers
  • Stock option schemes or securities transactions
  • Predictions and representations about the investment
  • Trading by insiders or dealers/brokers acquisitions, mergers, and other key management decisions
  • Proxy solicitations and tender offers

Securities litigation attorneys have the expertise to successfully handle these types of engagements in state and federal courts. They also have a thorough understanding of the procedural and substantive laws that apply to these claims. All of the well-known plaintiffs’ securities class action attorneys have brought countless securities fraud and shareholder derivative actions, and the lawyers have successfully defended them. A securities litigation attorney has a strong track record in these areas and is quite familiar with their approaches and techniques. The successful lawyers are listed on the AIG list of approved class action panel counsel and have been named “Super Lawyers” in securities litigation.

When accusations of securities violations are made, the securities litigation attorney normally fights back vigorously. They quickly investigate the facts, question the witnesses, and examine the documents to defend against all aspects of these claims. They then file motions to demurrer and dismiss, motions for staying the case and/or stage discovery, motions for summary judgment, and/or motions for providing judgment over the pleadings.

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