Securities Litigation

Whitaker Chalk lawyers have a deep knowledge of the regulatory schemes involved in securities compliance.   We regularly represent corporations, executives, shareholders, and boards in connection with corporate governance disputes.  We also assist with proxy contests, hostile takeovers and other hostile transactions and other matters that may involve potential conflicts of interest among shareholders, boards and executives of corporations.  These include shareholder derivative suits and other litigation with shareholders.

We are experienced at assisting with and defending clients in connection with governmental investigations.  These include investigations and enforcement actions by the Securities and Exchange Commission (SEC) the Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA) and other regulatory agencies.   We also council clients in connection with complying with the   Foreign Corrupt Practices Act and insider trading laws.  Most importantly, we develop ongoing relationships with clients and serve as outside counsel on various issues of corporate and securities law in an effort to reduce future risk of litigation. But when litigation is unavoidable, our trial team’s experience will help you navigate the complex world of securities litigation.