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Securities and Shareholder Litigation

Kramer Levin’s Securities and Shareholder Litigation lawyers have decades of experience achieving winning results for clients in high-profile, complex securities litigation, including securities fraud class actions and shareholder derivative cases. We regularly represent corporations, officers and directors facing multibillion-dollar, bet-the-company litigation.

Our lawyers have repeatedly achieved early dismissal of claims alleging earnings misstatements, false statements concerning business operations (including regulatory compliance), insider trading, market manipulation, accounting irregularities, Federal Corrupt Practices Act violations, and other forms of alleged fraud and misconduct. In those instances where claims proceed beyond the pleading stage, our adversaries know they face formidable advocates who are well-prepared to defend our clients’ interests through discovery and, if necessary, through trial. Indeed, given our deep bench of trial-tested litigators, we are often called upon to take over particularly difficult cases from other firms on the eve of trial. Notably, our bench includes a former leader of the plaintiffs’ securities bar, which enables Kramer Levin to offer clients unique and invaluable insight into how the plaintiffs’ bar builds, litigates and resolves cases.

Our work includes:

  • Defending companies and their officers and directors in securities fraud class actions
  • Responding to shareholder demand letters and derivative litigation
  • Representing corporations and underwriters facing charges of misstatements in public offerings
  • Defending public auditing firms accused of securities law violations and accounting malpractice
  • Representing corporations, their officers and directors, and investment banking firms in litigation arising out of corporate mergers and acquisitions, including significant experience before the Delaware Chancery Court
  • Defending broker-dealer firms, investment advisers and hedge fund managers, as well as their employees and affiliates, against fraud and similar claims by investors and trade counterparties 
  • Representing securities firms and professionals in customer disputes and employment arbitrations
  • Advocating for statutory insiders in short-swing profit cases

Relatedly, we frequently conduct independent internal investigations of business conduct and represent audit and other special committees investigating corporate wrongdoing.

Working collaboratively with our White Collar Defense team, we help resolve parallel criminal proceedings and sensitive government investigations as well as SEC, FINRA, CFTC and other regulatory inquiries, proceedings and enforcement actions.

Supreme Court to Determine State Court Jurisdiction of Class Actions Under Securities Act of 1933

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Supreme Court Upholds Strict Time Limit in Federal Securities Class Actions

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In Two Unanimous Rulings, U.S. Supreme Court Limits Penalties in SEC Enforcement and Criminal Actions

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