Practice Areas & Industries: Duane Morris LLP

 





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Practice/Industry Group Overview

Duane Morris represents both plaintiffs and defendants in litigation brought under federal and state securities laws. These matters typically arise out of mergers and acquisitions, tender offers, tax shelter investments, securities appraisals, corporate disclosures and public offerings.

Range of Services

Our securities litigation practice ranges from litigation resulting from initial public offerings and issues of corporate disclosure to shareholder disputes stemming from mergers and acquisitions and tender offers, as well as insurance coverage issues raised in these contexts. The firm also represents clients in securities class actions.

Our lawyers have defended law firms, accounting firms, underwriters and brokers in litigation arising out of both equity and debt offerings. The firm has represented management, as well as outside directors, in various cases involving challenges to public disclosures in connection with public offerings, derivative and other actions involving fiduciary duty claims and actions against directors and officers and claims brought by regulators and rehabilitators. In addition, Duane Morris has represented both the acquirer and the target in hostile takeovers that have involved issues of securities law, as well as in litigation concerning the takeovers.

In the retail brokerage area, the firm has represented brokerage firms, registered representatives and public customers in litigation and arbitration in all aspects of securities law, including broker-customer cases, intra-industry disputes and employment claims. Our lawyers also serve as and train arbitrators for the National Association of Securities Dealers, Inc., providing a unique perspective on how such cases are viewed by those who decide them.


 

Services Available

 
Group Presentations
Duane Morris Associate John Kahn Will Speak at the New Jersey State Bar Association's Transition Into Practice Series (TIPS) Program, New Brunswick, NJ, March 19, 2014
Duane Morris Partner John Goselin Will Speak at the Compliance Roundtable Webcast for Independent Broker-Dealers, March 18, 2014
Duane Morris Partner Eric Breslin to Speak at the American Conference Institute's 3rd National Forum, Washington, D.C., February 27, 2014
 
 
Articles Authored by Lawyers at this office:

SEC Targets Investment Adviser Community
, November 15, 2013
The Enforcement Division of the Securities and Exchange Commission (SEC) and its Office of Compliance Inspections and Examinations (OCIE) are focusing their examination and disciplinary efforts on the investment adviser community.

Guide to Publicly Offered Private Placements Under New Rule 506©
, September 30, 2013
A company that needs capital to expand its business or fund its operations often chooses to sell stock or other securities to investors in order to meet its funding requirements. All offerings of stock or other securities are regulated by federal and state securities laws, which generally require...

Fifth Circuit to Dodd-Frank Whistleblowers: Call the SEC First
, July 24, 2013
The U.S. Court of Appeals for the Fifth Circuit's decision last week in Asadi v. G.E. Energy (USA) has been hailed as a win for employers because it requires whistleblowers who bring retaliation claims under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) to show that...

SEC Eliminates Prohibition on General Solicitation in Certain Private Securities Offerings
, July 18, 2013
On July 10, 2013, the U.S. Securities and Exchange Commission (the "SEC") (a) adopted final rules to implement Section 201(a) of the Jumpstart Our Business Startups Act by eliminating the prohibition on general solicitation in certain offerings conducted under Rule 506 and all offerings...