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Securities Litigation, Arbitration and Regulatory Enforcement

In Depth

Loeb & Loeb's Securities Litigation, Arbitration and Regulatory Enforcement Practice represents financial institutions, broker-dealers, corporations and their officers and directors in complex and highly sensitive securities-related matters. Our vast experience litigating securities class actions and derivative actions in federal and state courts throughout the country – from pleadings through trials and appeals – and handling regulatory investigations and enforcement proceedings allows us to deliver aggressive, focused representation to our clients.

Our attorneys have also handled hundreds of securities arbitrations before the Financial Industry Regulatory Authority and other self-regulatory organizations. In addition, we have represented several of the major accounting firms in securities-related professional responsibility lawsuits, and represented issuers in delisting proceedings before the securities exchanges.

We also handle employment litigation and arbitration matters for the securities industry. Our areas of concentration include civil litigation before state and federal courts in cases involving ERISA matters, bonus compensation and contract disputes, wrongful termination, unfair competition, employee raiding, trade secret misappropriation and enforcement of restrictive covenants.

Our collective experience comes not only from trying and arbitrating hundreds of cases, but also from the prior experience of our team members, including former assistant U.S. attorneys, assistant district attorneys, general counsels and managers in the securities industry. Many of our securities litigators also have significant experience in white collar criminal defense, securities regulation and internal investigations, which allows us to provide "soup-to-nuts" representation and to bring an all-important global view to the securities litigation arena. With our inside and all-around perspective, we are able to assess cases early, pursue mediation avenues and provide robust counsel to our clients. Our approach has resulted in an excellent track record of trial and arbitration victories as well as extremely favorable settlements for our clients.

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