We successfully handle matters including:

  • Wells Submissions and alleged securities fraud and securities law violations
  • breach of fiduciary duties claims
  • insider trading claims
  • civil RICO matters
  • liability of officers, shareholders, and directors
  • claims against brokers and investment advisors alleging suitability and churning
Results

Our strong track record of success.

  • 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 navigated towards no enforcement in multiple SEC investigations.
RESOURCES

Happenings, headlines and insights.
See what’s new at Davis Malm.

View Our Litigation Resources

Publications

August 16, 2019

Where there’s a will…

Read More

Firm Announcements

January 28, 2019

Davis Malm Adds Emily Crowley to its Employment and Litigation Practices

Read More

Publications

December 20, 2018

Law practice enjoined from distributing fee from PI settlement

Read More

Speaking Engagements

September 29, 2018

Dispositive Motions, Rule 16 and Pretrial Conferences

Read More

Firm Announcements

August 29, 2018

Davis Malm Hires New Litigation Associate

Read More

Publications

April 5, 2018

Towing Co. Can’t ‘Pick Off’ Lead Class-Action Plaintiff

Read More

Speaking Engagements

February 12, 2018

MCLE’s 17th Annual Business Litigation Conference

Read More

Firm Announcements

November 16, 2017

Davis Malm Adds Tax Abatement Shareholder Mark Witkin to Real Estate Practice

Read More

Publications

August 21, 2017

Preparing for Litigation Risks as a Small Business Owner

Read More
CONTACT US

Need Litigation Counsel?

Get in touch
Scroll to Top