Securities Litigation & Enforcement
CPW attorneys represent clients in investigations by the SEC and the self-regulatory authorities (FINRA, NYSE). They also represent plaintiffs and defendants in securities litigation, including class actions in federal and state courts. CPW attorneys also represent parties in customer arbitration asserting claims of unauthorized trading, trading away and the unsuitability of particular investments, including stocks, bonds, variable annuities and structured products. CPW attorneys serve as arbitrators for the AAA, FINRA and the National Futures Association in securities and commodities cases.
Representative Cases
- Represented the CEO of a Fortune 500 company in class actions in federal and state court alleging financial fraud relating to a recent acquisition which resulted in a one-day drop in market capitalization of $9 billion.
- Represented a County Investment Pool against a large retail broker-dealer and its employee in state court litigation alleging fraud and bribery of the County's Chief Administrative Officer, the County Treasurer and the County Chief Investment Officer to obtain substantial securities business.
- Represented the CEO of a start up computer company in a class action alleging improper revenue recognition practices.
- Represented a County retirement fund in an action alleging fraud and breach of fiduciary duty by the fund's investment advisor for investments made contrary to the agreed upon investment guidelines resulting in losses of some $50 million.
- Represented the Special Committee of the Board of Directors of a major biotech company in an internal investigation of claims alleging misrepresentations in the marketing of its primary genetically engineered drug.
- Represented numerous clients in investigations by the SEC into possible insider trading, financial fraud, stock manipulation and market timing.
ATTORNEYS
J. Michael Matthews
David Nied
David J. Romanski
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