Select a Practice Antitrust & Dispute Resolution -Antitrust & Financial Services -State Attorneys General -Complex Dispute Resolution Business & Securities Law -Business Litigation   -Financial Institution Dispute Resolution -Securities - Litigation, Regulatory, & Compliance -Financial Restructuring & Bankruptcy -White Collar Criminal Defense & Investigations   -Securities Enforcement   -Internal Corporate Investigations   -White Collar Criminal Defense   -Foreign Corrupt Practices Act (FCPA)   -Shareholder Derivative Actions   -Congressional Investigations   -State Attorneys General -Employment   -Employment Litigation   -ERISA   -Immigration   -PolicyPartner Corporate & Finance -Banking -Biotechnology -Broker-Dealer -Business Combinations -Communications -Derivatives -Education -Energy Transactions -Environmental -Executive Compensation -Financial Institution Dispute Resolution -Investment Companies -Joint Ventures -Licensing -New Economy -Private Debt/Equity -Real Estate -Restructuring -Sale & Leasebacks -Securities Compliance, Litigation and Regulation -Securities Offerings -Tax -Trusts & Estates Energy -Regulatory   -Electrical Industry   -Natural Gas, LNG, and Oil Industry   -Transactional   -NERC Reliability Standards -Transactions   -Mergers and Acquisitions   -Project Development   -Financing   -Energy-Related Agreements   -Ownership Arrangements   -Regulatory Structuring & Approvals   -Taxes -Renewables   -Wind   -Solar   -Hydroelectric -Litigation -Compliance, Investigations, and Enforcement Government Law & Strategy -Government Contracts -Public Policy & Law   -Homeland Security   -Congressional Investigations   -Political Law Insurance Coverage -Commercial General Liability -Crime and Fidelity -Employment Practices Liability -Entertainment Industry Losses and Claims -Environmental -Executive Liability -Food and Product Contamination -Insurance Broker Liability -Insurance Policy and Risk Audit -Political Risk Insurance -Property and Business Interruption Losses Intellectual Property -IP Litigation -Prosecution -Asset Management -Counseling -Licensing

The Corporate & Finance Group represents clients in securities litigation cases and enforcement and delisting proceedings brought by various government agencies, exchanges, and self-regulatory associations. Dickstein Shapiro’s securities litigation clients are diverse in both size and range of their activities and include large and small companies, broker-dealers, investment bankers, the largest NASDAQ market makers, a major accounting firm, as well as individual brokers and company officers and directors.

Representative engagements include:

• Representation of one of the largest international banks in connection with eight lawsuits filed in both state and federal courts commenced by the purchasers of more than $400 million of high yield bonds to finance a steel mill in Thailand involving allegations of fraud and misrepresentation in connection with a 144A offering;
• Representation of a leading broker-dealer in the NASDAQ market-makers securities litigation involving allegation of collusion relating to quote activity in the over the counter market. Served as liaison counsel for the 35 largest over the counter market makers in connection with the SEC, and the Department of Justice investigations and 20 class action lawsuits;
• Representation of one of the largest fixed income securities dealers in connection with a disputed trade involving a $250 million pool of home loan mortgages;
• Representation of one of the largest NASDAQ market makers in numerous investigations undertaken by FINRA and the SEC; and
• Representation of a major broker-dealer in connection with an internal investigation relating to improper accounting practices that resulted in a substantial undisclosed loss.