Morgan Lewis

Securities Litigation and Enforcement

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  • A "Securities Practice Group of the Year" (Law360 2012)
  • A "standout firm for securities and finance litigation" (BTI's Litigation Outlook 2013)
  • Nationally recognized Securities Regulation Practice (Chambers USA 2012)
  • Partner Marc Sonnenfeld "MVP for Securities Litigation" (Law360 2012)

Lawyers Based in Key Markets

  • New York
  • Philadelphia
  • Washington, D.C.
  • Chicago
  • Miami
  • San Francisco
  • Los Angeles
  • Irvine

Related Events

Related Publications

02/19/15 Select Broker-Dealer Enforcement Cases and Developments: 2014 Year in Review
In a record year for enforcement, the SEC brought a landmark number of cases, and FINRA imposed an exceptional level of fines and restitution.
12/10/14 FINRA and MSRB Seek Disclosure of Fixed-Income Price Differentials
The respective proposals would require disclosure of price differentials in certain same-day fixed-income transactions that involve retail customers and go beyond existing price differential disclosure requirements in equity transactions.
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Related News

10/15/14 United States Securities and Exchange Commissioner Daniel M. Gallagher, Jr. to Speak at Fordham Corporate Law Center’s Annual A.A. Sommer, Jr. Lecture
Mr. Gallagher will speak on “The Securities and Exchange Commission – The Next 80 Years." The annual A.A. Sommer, Jr. Lecture, established in 2000 by Morgan Lewis, is one of Fordham Corporate Law Center's most significant and influential programs.
10/02/14 Morgan Lewis Bolsters Leading Securities Litigation and Enforcement Practice with SEC Assistant Regional Director
Morgan Lewis announces that Peter K.M. Chan will join the firm as a partner in its Litigation Practice, resident in Chicago.
08/04/14 Morgan Lewis Adds Top Securities Litigation and Enforcement Lawyer Amy Greer: Move Enhances White Collar and Investment Management Client Services
Amy Greer, a top litigator with a particular emphasis on defending matters before the U.S. Securities and Exchange Commission (SEC), has joined Morgan Lewis as a partner in its Litigation Practice, resident in the New York office.
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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.

Securities Enforcement
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 >>

Securities Litigation
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 >>