Securities Litigation

Federal and state representation for public companies

Public company executives, boards of directors and general counsel are under extreme scrutiny in how they handle securities, discuss company performance and structure stock options and compensation packages. As this area continues to evolve and new laws are contemplated with ever-increasing requirements and procedures, work in the securities field will require both discipline and in-depth knowledge of the law and the industries it regulates.

Our Securities Litigation Group has the experience to handle even the most complicated cases. The group recently guided a Colorado public company through investigations into alleged options backdating by the Securities and Exchange Commission (SEC) and the U.S. Attorney for the Southern District of New York. Our work helped obtain a dismissal of shareholder derivative suits arising out of those allegations. Other cases include representing a company chairman and CEO in a class action securities fraud case, IPO securities litigation in the Southern District of New York, representation of a mutual fund in an investigation by the Colorado Attorney General, and the guidance of one of Colorado’s largest public companies through a SEC investigation that resulted in the SEC taking no action against the company.

The Brownstein Advantage

• Complex multi-jurisdictional disputes. Our Securities Litigation Group has the depth of experience necessary to successfully defend companies and individuals in both agency investigations and any ensuing litigation.
• Policy background. In combination with our Government Relations Group, we understand the inner workings of the congressional committees, the SEC and the relevant divisions of the U.S. Department of Justice. In addition, our group includes several former Assistant U.S. Attorneys with experience prosecuting securities violations.
• Experience matters. Members of our group frequently counsel companies on securities issues, and we are fully capable of handling any state or federal litigation, criminal or civil, that may arise in this area.