Our attorneys advise companies and their officers and directors on every type of securities and corporate governance claim, from regulatory investigations to derivative lawsuits and shareholder class actions.
We are experienced litigators before federal and state courts at the trial and appellate levels. We also have in-depth knowledge of the Financial Industry Regulatory Authority (FINRA) and other financial arbitration forums. In Wilmington, Delaware, where we have an office, our attorneys participate in the most active state court currently ruling on corporate governance issues.
Along with seasoned class action litigators, our team includes former federal prosecutors and the former assistant director for the Division of Corporation Finance with the Securities and Exchange Commission. Our government experience brings added depth to devising defense strategies and reaching resolution.
Our Services
Our securities litigators handle:
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SEC and SRO investigations
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State investigations
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Class actions brought pursuant to the 1933 Securities Act and the 1934 Securities Exchange Act
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Derivative cases
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Delaware corporate litigation
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Appraisal litigation, including dissenters' rights
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Breach of fiduciary duty cases
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Directors and Officers Liability Insurance implications
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Insider trading allegations
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Allegations of false or misleading securities filings
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Tender offers, proxy contests, and issues relating to change of control
Our Clients
Our clients include issuers, corporate officers, directors, underwriters, accountants, attorneys, and broker-dealers. The companies and individuals we represent operate in a range of industries, including telecommunications, banking and finance, energy, pharmaceuticals, biotech, real estate, and manufacturing.
contact
M. Norman Goldberger
Practice Leader
Tel 215.864.8850
goldbergerm@ballardspahr.com