Securities Litigation and Securities Arbitration Services


Our securities litigation team includes a former SEC Enforcement Branch chief for the New England region who writes and lectures regularly in the university setting on securities issues. Our team is knowledgeable and experienced in all areas of securities litigation, from informal and formal investigations by the SEC and state regulators to litigation in the state and federal courts. We have successfully handled such matters as Wells Submissions and matters in which allegations have included securities fraud and securities law violations; breach of fiduciary duties claims; disputes concerning ownership of closely held entities; derivative actions; insider trading claims; civil RICO matters; liability of officers, shareholders and directors; and claims against brokers and investment advisors alleging such claims as suitability and churning.

One senior team member is a trained and experienced neutral for both AAA and NASD. He is available for securities arbitration services.

Representative Matters

  • Acted as lead counsel for shareholders of leveraged, tax-exempt bond funds in actions under the Investment Company Act against investment advisors. We challenged the legality of the advisors' compensation agreements, which made the amount of their compensation dependent on their maintaining the funds' leverage.
  • Represented a former senior officer of several related major mutual fund companies in an SEC investigation and in enforcement litigation.
  • Successfully opposed summary judgment in the Massachusetts Superior Court in a shareholder derivative action.