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 have served as arbitrators for the Financial Industry Regulatory Authority, providing a unique perspective on how such cases are viewed by those who decide them.


Services Available

Group Presentations
  Duane Morris Attorney Michael E. Clark to Speak at the ABA's Second National False Claims Act and Qui Tam Institute, Denver, CO, June 3, 2015
Past Seminar Materials
  Duane Morris Attorney Michael E. Clark to Present "Steering Your Firm Through the Fog of the 'Cloud': How to Navigate Before You are Navigated", June 15, 2015
Duane Morris Partner Marvin G. Pickholz to Speak at "Anti-Money Laundering Compliance 101", May 19, 2015
Articles Authored by Lawyers at this office:

SEC Adopts "Regulation A+" Rules
Darrick M. Mix,Howell J. Reeves,Barry Steinman,Sandra G. Stoneman, April 27, 2015
On March 25, 2015, the U.S. Securities and Exchange Commission (SEC) adopted final rules amending Regulation A under the Securities Act of 1933.[1] Regulation A, as amended (which is referred to as "Regulation A+"), is designed to increase access to capital for nonpublic companies and...

Proposed New Regulatory Landscape for Proprietary Trading Firms
, April 02, 2015
As the result of a recent series of proposed new and amended rules and regulations, firms whose business is proprietary trading in the financial markets - such as so-called "high frequency traders" (HFT) - may become subject to an entirely new substantive regulatory landscape, including...