Securities Litigation and Enforcement
Morgan Lewis’s Securities Litigation and Enforcement Practice encompasses two distinct but overlapping areas in order to assist clients with matters that increasingly involve parallel litigation and enforcement proceedings. Our Securities Enforcement team represents financial institutions, public companies, and senior executives in regulatory investigations; conducts internal investigations; and acts as an independent consultant to firms in matters arising out of regulatory settlements. Our Securities Litigation team defends public and private companies, financial institutions, and officers and directors in various matters, including class actions, lawsuits asserting violations of the federal and state securities laws, and shareholder derivative actions and claims challenging mergers and acquisitions. We also routinely advise audit committees and special litigation committees.
Our team includes a former Chief Litigation Counsel for the U.S. Securities and Exchange Commission’s (SEC’s) Division of Enforcement, a former Director of the SEC's Chicago regional office, and more than 20 lawyers who have worked at the SEC. Additionally, we draw on the capabilities of Morgan Lewis lawyers across other practices—including those focused on broker-dealer regulation; ERISA; the Internal Revenue Code; food, drug, and medical device regulation; federal and state banking and insurance laws; and federal criminal laws—in order to provide the most efficient, customized, and precise representation on any matter.
For more than 30 years, Morgan Lewis’s Securities Enforcement Practice has represented financial institutions, public companies, and senior executives in regulatory investigations and enforcement proceedings conducted by the SEC, the U.S. Department of Justice (DOJ), other governmental agencies, and all major self-regulatory organizations, including the Financial Industry Regulatory Authority (FINRA). Details >>
Morgan Lewis’s Securities Litigation Practice defends public and private companies, financial institutions (including underwriters), and officers and directors in federal and state lawsuits throughout the United States, including many class actions. Our team frequently obtains dismissals in the early stages of litigation, and we know the important role that settlements play in securities class actions, derivative cases, and litigation arising from mergers and acquisitions. Details >>