Peter M. Saparoff: Lawyer with Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

Peter M. Saparoff


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AV® Preeminent

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Practice Areas

  • Securities Litigation
  • Institutional Investor Class Action Recovery
  • Corporate & Securities
  • Corporate Compliance & Investigations
  • Investment Funds
  • Securities Violations
  • Litigation
  • Financial Services
  • Insurance
  • Manufacturing
  • Life Sciences
  • Professional Services
  • Retail & Consumer Products
  • Technology, Communications & Media
Contact InfoTelephone: 617.348.1725
Fax: 617-542-2241
Internet: Each Attorney's Internet Address takes the following form: first initial, last name (e.g.,
University Harvard University, B.S.
Law SchoolHarvard University, J.D.
Admitted1967, Massachusetts; 1981, New York

• Chair, Annual ALI-ABA Securities Litigation Program
• Chair, American Bar Association (ABA) Litigation Section '40 Act Litigation Subcommittee
• Adjunct Professor, Securities Litigation, Maine Law School (2013)
• Past chair, ABA Litigation Section Securities Litigation Committee
• Past division director, ABA Litigation Section Securities Litigation Committee
• Past member, ABA Special Advisory Committee on the Federal Rules
• Member, ABA Business Section
• Member, Boston Bar Association
• Member, American Law Institute
• Past advisor, Harvard Law School Trial Advocacy Workshop


Peter co-chairs the firm's Securities Litigation Practice. He is one of the nation's leading securities litigators. He has represented clients in well over 100 cases, investigations, and proceedings throughout the country. He has successfully defended SEC investigations, class actions, derivative suits, stock exchange proceedings, and state securities investigations, and has handled numerous FINRA arbitrations, among other matters. Peter also represents hundreds of institutional investors with respect to the monitoring and evaluation of securities class action settlements.

Peter has succeeded in having many alleged class actions or derivative suits dismissed on motions to dismiss or for summary judgment, and has successfully persuaded plaintiffs' attorneys on more than one occasion to withdraw their complaints at the onset of the matter. He has defeated numerous class certification motions and recently participated in obtaining a unique ruling that a lead counsel for the class was not adequate, resulting in a dismissal with prejudice of the case.

He has succeeded in preventing the vast majority of the dozens of clients he has represented in SEC investigations from being named as defendants or respondents. In matters where the SEC has taken action, Peter has frequently negotiated bars or suspensions, which have enabled the clients to return to their businesses or professions without undue delay.

Peter has represented many clients in FINRA arbitrations and has tried FINRA cases to successful conclusions. He also serves as an NASD arbitrator.

Peter has recovered nearly $3 billion for institutional clients through his Institutional Investor Class Action Recovery Practice. In addition, he has represented various clients in opting out of or objecting to proposed class settlements and has represented institutions as plaintiffs in various actions.

He is a frequent lecturer and author on securities matters, having written hundreds of articles and papers, including co-authoring the Securities Litigation chapter in the definitive Massachusetts Continuing Legal Education publication,Business Torts in Massachusetts (2003). He speaks at many institutional investor and securities industry forums, and is frequently quoted in the press.

After law school, he served as law clerk to the Honorable A. J. Connor (D-NH) and the Honorable Frank M. Coffin, US Court of Appeals for the First Circuit.


• Mintz Levin Attorneys Michael F. Connolly, Peter M. Saparoff and Joel D. Rothman to Speak at MCLE's 13th Annual Business Litigation Conference, (01.29.2014)

• Seventy-Nine Mintz Levin Attorneys Named 2013 Massachusetts Super Lawyers and Rising Stars, (10.21.2013)

• Mintz Levin Attorneys Peter M. Saparoff and Breton Leone-Quick to Speak at ABA Section of Litigation Annual Conference, (04.24.2013)

• Seventy-One Mintz Levin Attorneys Named 2012 Massachusetts Super Lawyers and Rising Stars, (10.22.2012)

• Fifty-Two Mintz Levin Attorneys Recognized as Massachusetts Super Lawyers, (10.21.2011)

• Forty-Nine Mintz Levin Attorneys Recognized as Massachusetts Super Lawyers, (10.19.2010)

• Forty-Eight Mintz Levin Attorneys Recognized as Massachusetts Super Lawyers, (10.27.2009)

• Forty-Six Mintz Levin Attorneys Recognized as Massachusetts Super Lawyers, (10.29.2008)

• Forty-Five Mintz Levin Attorneys Recognized as Massachusetts Super Lawyers, (10.25.2007)

Recognitions & Awards

Massachusetts Super Lawyers: Securities Litigation (2004 - 2013)
• Martindale-Hubbell AV Preeminent


Co-author,Rebutting the Fraud-on-the-Market Theory,American Bar Association, Securities Litigation Section (07.16.2013)

• Co-author,Will Upcoming Decisions Regarding the Application of Statutes of Repose & Limitations Fundamentally Change the Securities Class Action Landscape?,ABA Section of Litigation Annual Conference (2013)

• Co-author,Will Upcoming Decisions Regarding the Application of Statutes of Repose & Limitations Fundamentally Change the Securities Class Action Landscape?,MCLE 12th Annual Conference, Business Litigation (2013)

• Co-author,Can SEC Administrative Findings be used in Subsequent Cases?,American Bar Association, Securities Litigation Section (05.11.2012)

• Co-author,Implications of Erica P. John Fund v. Halliburton Co.,American Bar Association Securities Litigation (01.31.2012)

• The Role of Foreign Litigation in View of the Morrison Decision,ABA Securities Litigation Website (01.26.2012)

• Co-author,How Does the United States Supreme Court's Decision in Halliburton Affect Class Certification Motion Practice?,MCLE 11th Annual Conference, Business Litigation (01.20.2012)

• Co-author,Lessons Learned from Initial Say-on-Pay Litigation,Securities Litigation Alert (07.18.2011)

• Co-author,Supreme Court Rejects Fifth Circuit's Requirement That Plaintiffs in a Securities Fraud Litigation Prove Loss Causation in Order to Obtain Class Certification,Litigation Alert (06.09.2011)

• Co-author,The SEC's Increasing Focus on Hedge Funds,ABA Securities Litigation Journal (2011)

• Co-author,Benefits of Including Foreign Investors in U.S. Securities Class Actions and Barriers Created by Morrison v. National Australia Bank,Bloomberg Law Reports: Securities Law (08.09.2010)

• Co-author,Khuzami Announces Initiative To Encourage Cooperation by Individuals and Companies with SEC Investigations,Securities Litigation White Collar Defense Alert (01.14.2010)

• Co-author,SEC Enforcement Actions and Potential Civil Liability for Failures to Make Timely Filings,ABA Securities Litigation Journal (2010)

• Co-author,Using the Attorney-Client Privilege to Protect Drafts of SEC Filings,Litigation Securities Alert (02.06.2009)

• Co-author,Protecting the Interests of Class Members in Securities Fraud Settlements,ABA Securities Litigation Journal (2009)

• ABA Securities Litigation Journal,ABA Securities Litigation Journal (2008)

• Co-author,Hitting Home Runs or Swinging and Missing? Examining How the SEC Has Fared in Recent District Court Litigation,31st Annual Advanced ALI-ABA Course of Study, Securities Litigation Planning and Practice (2007)

• Opting Out of Securities Class Actions--Is it Worth the Risk?,ABA Securities Litigation Journal (2007)

Speaking Engagements

Panelist,Roundtable: Strategies for Litigating Fraud Claims in Today's Environment,13th Annual Business Litigation Conference 2014, (01.29.2014)

• Panelist,The Good, the Bad and the Ugly: Ethical Issues in Class Action Settlements and Opt Outs,ABA Section of Litigation Annual Conference, American Bar Association, Chicago, IL (04.25.2013)

• Panelist,Securities Litigation Update,12th Annual Business Litigation Conference 2013, Massachusetts Continuing Legal Education, Boston, MA (01.25.2013)

• How Does the United States Supreme Court's Decision in Halliburton Affect Class Certification Motion Practice,New England Business Litigation Conference, Massachusetts Continuing Legal Education (01.20.2011)

• Speaker,Global Shareholder Activism Conference, Institutional Investor Educational Foundation, New York, NY (12.03.2009)

• Speaker,Effective Strategies for Reducing Corporate Fraud, MIT Sloan CFO Summit (11.19.2009)

• Panelist,Recovering Losses from the Financial Meltdown, Mintz Levin, Webinar (06.04.2009)

Reported CasesRepresentative Matters: Representation of hundreds of defendants in securities class actions in all stages throughout the country in cases involving all aspects of federal and state securities laws. Representation of large mutual fund complexes, public pension funds, employee benefit plans, and private investors in monitoring and/or participating in securities class actions, regulatory settlements, and other investor settlements. Utilization of special litigation committees to have numerous derivative suits terminated at an early stage. Representation of mutual funds, investment advisors, and disinterested directors in various suits alleging excessive management fees, breaches of fiduciary duty, and other violations of the Investment Company Act of 1940. Participation in several cases where judicial decisions have established legal precedents in the securities area. Representation of institutional investors as plaintiffs in numerous cases involving securities claims. Trying various FINRA cases. Representation of a branch manager in a lengthy NASD arbitration proceeding regarding alleged failure to supervise and related charges in which the panel completely exonerated the branch manager. (The result is unique in that both the respondent broker-dealer and individual broker (represented by other counsel) were held liable for substantial damages.); Ongoing experience as a NASD arbitrator. Representation of issuers, officers, and directors in investigations relating to alleged leaks to investors of negative information which was subsequently publicly disclosed. Representation of institutional investors who allegedly traded on information gleaned from corporate officials or securities analysts prior to the public dissemination.; Representation of various individuals (officers, directors, venture capitalists) with respect to certain challenged trades. Representation of issuers and individuals in investigations relating to trading in unregistered securities. Representation of issuers in investigations relating to Regulation S. Representation of issuers who have been victimized by short-sellers. Representation of investment advisors with respect to issues arising in SEC inspections. Representation of mutual fund account managers with respect to possible utilization of alleged investment opportunities of funds. Representation of investment companies in investigations relating to valuation and pricing of portfolios. Representation of transfer agents and custodians in investigations relating to various issues. Representation of investment companies and advisers with respect to adequacy of compliance procedures. Representation of broker-dealers and branch managers in failure to supervise investigations. Representation of individuals with respect to alleged violations of the Investment Company Act of 1940. Representation of an officer who signed Sarbanes-Oxley certifications with respect to numerous financial statements that were subsequently restated, in which the SEC was convinced not to take any action. Representation of issuers, officers, directors, and employees in investigations relating to alleged financial fraud with respect to SEC filings, Sarbanes-Oxley certifications, shareholder reports, and press releases. Representation of real estate investment trusts, their officers, and trustees in investigations relating to adequacy of loan loss reserves. Representation of banks with respect to adequacy of certain loan loss reserves. Representation of CPAs in investigations relating to a wide variety of accounting issues. Representation of individuals with respect to alleged prime bank schemes.

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Peter M. Saparoff

BostonMA 02111


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