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Securities Litigation & Enforcement


In today’s challenging enforcement environment, businesses and individuals need a legal partner who understands what’s at stake and can act quickly when securities litigation or investigations arise – to help limit their exposure and achieve swift and efficient resolution.

Loeb & Loeb’s Securities Litigation and Enforcement lawyers represent corporations and their officers and directors, as well as financial institutions and broker-dealers, in complex and highly sensitive securities-related matters. We have decades of experience litigating securities class actions and shareholder derivative suits, as well as handling regulatory investigations and enforcement proceedings to help our clients resolve their thorniest legal and business challenges.

Our courtroom-tested lawyers provide hard-hitting and skilled advocacy, from pleadings through trials and appeals. Our team includes former federal prosecutors, assistant district attorneys and seasoned advocates with in-depth knowledge of the regulatory and financial issues driving complex securities cases. We also leverage a wealth of experience in white-collar criminal defense, professional liability claims and internal investigations.

Clients come to us for our 360-degree view of the securities arena and our formidable representation in these high-stakes matters. We strategize cases early; pursue quick dismissals, mediation or other resolution, where possible; and always stand prepared to defend our clients’ interests through trial, if necessary. This approach has resulted in an excellent track record of winning results for our clients.

Loeb’s securities litigators have achieved dismissal or favorable settlement of individual claims and class actions involving allegations of insider trading, accounting irregularities, earnings misstatements and other misconduct. We have defended many of the major accounting firms in securities-related professional responsibility lawsuits and represented issuers in delisting proceedings before the securities exchanges. We’ve also handled numerous securities arbitrations before FINRA (Financial Industry Regulatory Authority) and other self-regulatory organizations, and we have advised on employment litigation and arbitration for the securities industry.

Our international practice serves both U.S. and foreign-based clients. With local offices in Hong Kong and Beijing, our team has particular strength assisting Chinese companies dealing with U.S. securities regulators and law enforcement agencies in both adversarial and cooperative capacities. We have represented numerous China-based U.S. public companies and their officers, directors and auditors in formal and informal regulatory investigations and in defense of class actions and derivative suits.

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