An overview of securities litigation, including the types of claims that arise, the important players in litigation, and the procedural and substantive issues that arise in litigation.
Introduction to Securities Litigation: An overview of securities litigation and how it works, including the parties involved, the types of claims that can be made, and the potential outcomes.
Securities Law: The legal framework governing securities and securities transactions, including the various federal and state laws and regulations.
Securities Fraud: The various types of securities fraud, including insider trading, misrepresentation, and manipulation, and the legal remedies available to victims.
Securities Class Actions: An overview of class actions and how they are used in securities litigation, including the requirements for certification and the benefits and potential drawbacks of pursuing a class action.
Securities Arbitration: An overview of securities arbitration and how it differs from litigation, including the advantages and disadvantages of this alternative dispute resolution mechanism.
Securities Enforcement: An overview of the Securities and Exchange Commission's (SEC) enforcement powers and how they are used to protect investors from securities fraud.
Securities Investigations: An overview of the SEC's investigative process and the types of information that may be collected during an investigation.
Securities Litigation Process: A step-by-step guide to the securities litigation process, including the filing of a complaint, discovery, trial, and appeal.
Securities Regulation: An overview of the various federal and state regulatory agencies that oversee securities transactions, including the SEC, FINRA, and state securities administrators.
Securities Litigation Strategy: A discussion of the various factors that can influence a securities litigation strategy, including the strengths and weaknesses of the case, the potential risks and rewards, and the client's goals and objectives.
Securities fraud: This is a broad category of securities litigation that refers to any instance of a company or individual misleading investors to illicitly profit in the financial market.
Insider trading: Insider trading is securities fraud that involves a person using non-public information in buying or selling securities.
Misleading statements or omissions: This is another category of securities fraud that occurs when a company or its representatives make intentionally or negligently false or misleading statements about the business.
Manipulation: Securities fraud can also occur if a group, individual or organization artificially elevates or suppresses a stock's market price through fraudulent trading or other means.
Breach of fiduciary duty: This type of lawsuit can be initiated by shareholders in instances where a company's executives breach their legal or ethical duty to shareholders.
Market timing: Market timing cases center around mutual fund managers who allow favored investors to purchase or sell shares at advantageous times.
Corporate governance disputes: Shareholders may file lawsuits against a corporation or its officers for issues such as conflicts of interest, fraudulent activity, and the like.
Breach of contract: This relates to securities transaction disputes or other contractual obligations related to securities.
Securities arbitration: FINRA (Financial Industry Regulatory Authority) is a self-regulatory agency and has arbitration procedures that permit investors to bring claims against member firms or brokers.
Regulatory actions: Regulatory agencies such as the Securities and Exchange Commission (SEC) or Commodity Futures Trading Commission (CFTC) can bring enforcement actions against companies or individuals for failing to comply with regulatory requirements.