Securities Law

Attorneys within the team are broadly experienced in representing investment firms in financial and securities industry-related arbitrations under the Financial Industry Regulatory Authority (FINRA) and other regulatory bodies, involving a variety of matters.

Defense Counsel for Prominent Financial and Securities Industry Cases

The firm has a strong track record in defense of securities class action lawsuits, shareholder derivative lawsuits, actions against issuers and underwriters of securities, and other matters under federal securities laws in the U.S. We represent public companies and individuals before federal and state regulators, the New York Stock Exchange (NYSE), the Commodity Futures Trading Commission (CFTC), and at the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ), and at various arbitral forums, including the Financial Industry Regulatory Authority (FINRA) and the American Arbitration Association (AAA), and in alternative dispute resolution forums.

Our representation extends beyond domestic U.S. clients to international corporations, investment banks, hedge funds and other financial institutions, as well as accounting firms, law firms and individuals. Recently, we acted as counsel to CRT Capital Group LLC, a former advisor to SLS Capital S.A. in varied international litigation arising from what the Financial Times has described as the “biggest individual fraud perpetrated on small investors in the UK” in the last two decades. We obtained dismissal of all claims against our client and a US$4.4 million FINRA arbitral award as indemnification damages and attorneys’ fees, and subsequently also prevailed in a contested confirmation proceeding for this award in the U.S. District Court for the Southern District of New York.

Curtis is known for its involvement in prominent class action securities suits brought by plaintiffs before the U.S. courts. We represented Arthur Andersen LLP and the Andersen engagement team on the WorldCom and Enron matters, obtaining dismissals of many of the claims against Andersen and its partners.

Highly Skilled Securities Law Practice with Experienced Trial Litigators

Based in New York and Washington, D.C., our securities litigation team offers a sophisticated understanding of the U.S. securities markets. Known for their excellent trial and litigation skills, our litigators have a track record of successfully obtaining dismissals, summary judgments and denials of class certification on behalf of their clients. We believe in a thorough and rigorous approach to preparation for trial, even as we pursue an advantageous settlement.

Many of our litigators are admitted in multiple courts and are seasoned advocates, with experience in Federal as well as State courts in the U.S. at both the trial and appellate levels. Our experience with the leading firms of the plaintiffs' bar provides our lawyers a strong grasp of the strategies and tactics of plaintiff's counsel and allows them to negotiate settlements from a position of strength.

Cross-Functional Team Approach

Our securities litigators frequently draw upon the industry experience and insight of our capital markets and investment management attorneys to develop comprehensive strategies that address all the legal and factual aspects of each securities-related matter.