SECURITIES AND INVESTMENT CLAIMS

The Firm has represented investors, placement agents, syndicators, issuers of equity and debt, and various other interests involved in investment scenarios, including, for example, the following:

  • We advised the trustee of a Norwegian securities firm in connection with U.S. litigation arising from a total loss of a $150 million derivatives investment.
  • We represented a high-tech medical start-up company developing a new scanning device for detection of early-stage breast cancer and its chairman in defense of claims of securities fraud in a multi-plaintiff action and in the accompanying SEC investigation.
  • We represented a publicly traded biomedical start-up company in connection with claims by creditors, an SEC investigation and the sale of a controlling interest to new investors.
  • We defended the former president/CEO of an international steel company against a series of claims of securities fraud filed in nine different actions in five different jurisdictions seeking in excess of $400 million.
  • We represented a customer in a claim against a stockbroker alleging failure to supervise and unsuitability.
  • We represented a Wall Street insider and minority shareholder in a high-tech software development company that had developed new technology applicable to electronic trading in an action alleging minority shareholder oppression.
  • We represented the owner of a mutual fund administrative services company in negotiating a highly favorable settlement of complex fraud claims brought by liquidators of a Bermudian insurance company founded by the client.
  • We represented a private equity firm in connection with the protection of its $3.5 million investment in a start-up pharmaceutical venture.