Securities Litigation

In today’s business climate, when a company can easily and quickly find itself facing shareholder threats, regulatory scrutiny, and securities-related litigation, it is critically important that your law firm possess the experience and national reach to swiftly defend your interests. That’s why our clients turn to Greenberg Traurig.

GT has one of the broadest and deepest securities litigation practices in the country. The firm has been lead defense counsel in hundreds of securities class actions, derivative lawsuits, and SEC investigations and enforcement actions. These include some of the largest and most complex regulatory actions ever filed and one of the most highly publicized securities fraud cases in recent times. With offices across the United States, Europe and in Asia, and one of the largest national litigation practice groups, GT is well positioned to assist clients in every major commercial center in the United States, as well as in Amsterdam, London, Shanghai and other major commercial and banking centers in Europe, China and Japan.

Our securities litigators work closely with attorneys in related practice disciplines throughout the firm, such as corporate and securities, white collar criminal defense, and corporate compliance and governance under Sarbanes-Oxley, to provide our clients with a strategic portfolio of counseling and defense services. GT’s broad governmental affairs practice – along with the many former federal and state prosecutors and former SEC attorneys who practice at GT – enables us to offer clients advice based not only on legal acumen but also on a thorough understanding of the government process.

Through this multidisciplinary approach to counseling our clients, we can help formulate strategies and take steps designed to limit their litigation risk. Our practice, however, is not limited to providing advice and settling cases: we are trial lawyers with vast jury and non-jury trial experience that we can bring to bear whenever that is the right approach. From our creative defense strategies to our trial victories, you can take confidence in GT’s resources, knowledge and commitment to service.

Securities Class Action Defense

  • Broad experience representing companies and their officers and directors, auditors, attorneys, underwriters, hedge funds and private equity firms
  • AIG panel counsel
  • Defended all types of securities claims – from accounting fraud and restatements to hyped projections and missed forecasts
  • Detailed databases of court decisions, briefs and related topics, to assist in defense strategies that are tailored to the facts and jurisdiction of the particular case

Shareholder Derivative Litigation

  • Representation of public companies and their officers and directors in derivative actions arising from mergers and acquisitions, executive compensation, and other corporate transactions or events in which a company’s shareholders, purportedly acting on behalf of the company, assert claims against corporate officers or directors
  • Broad experience attacking demand futility allegations, and the judgment to know when – and when not – to establish a special litigation committee
  • Counseling special or audit committees to evaluate and respond to actions before and after they are filed

Securities Regulatory Practice

  • Representation of issuers and their officers and directors, accounting firms, broker-dealers, registered individuals, hedge funds, and investors in investigations by the SEC, the Justice Department, the states’ Attorneys General, as well as the CFTC, FINRA, NYSE and other banking regulators involving:
    • Accounting fraud and earnings management
    • Analysts’ conflicts of interest
    • D&O bar proceedings
    • Delisting proceedings
    • Insider trading
    • Individual enforcement actions for financial fraud
    • Market timing and late day trading
    • Market manipulation
  • Internal investigations and compliance reviews for broker-dealers and investment advisers, as well as development of anti-money laundering and internal control policies and procedures
  • Our securities litigation team includes attorneys with prior experience serving as senior SEC staff members

White Collar Securities Defense


  • GT is one of the few firms in the United States that offers a national team comprising more than 30 former federal and state prosecutors who focus their practice on criminal and civil white collar securities defense matters
  • Matters that formerly were handled through civil or regulatory action often now result in criminal investigations or parallel criminal and SEC, CFTC or state agency regulatory action; our counsel to individual and institutional clients is directed at securing outcomes that preserve clients’ reputations and minimizing the impact of proceedings on their ongoing business activities

Broker-Dealer Arbitration And Defense

  • We are one of the most experienced and largest teams in the United States, representing market leading broker-dealers to final award or judgment in thousands of securities arbitrations and trials throughout the country
    • We have tried some of the largest arbitration cases to verdict, including numerous matters involving over $100 million
  • We regularly handle matters before the:
    • Financial Industry Regulatory Authority Dispute Resolution
    • Securities and Exchange Commission
    • American Arbitration Association
    • National Futures Association
    • State and federal courts across the country
  • We have wide-ranging, real-world experience analyzing and explaining to judges, juries and arbitration panels complex issues involving such diverse financial products as:
    • Partnerships
    • COOs, CMOs and other mortgage-backed securities
    • Options
    • Commodities and futures
    • Hedge funds
    • Structured products
  • Our experience goes well beyond customer dispute issues, most of which involve claims of unsuitability or churning; we also handle broker-dealer raiding and employment cases involving claims of wrongful termination, harassment and discrimination, defamation and theft
  • We have a wealth of valuable resources to assist in the defense of these matters, including:
    • A detailed arbitrator database containing detailed information about more than 2,500 FINRA arbitrators throughout the U.S.
    • A unique and proprietary database of national contacts, resources and investigators to support the defense of our clients
    • A one-of-a-kind securities industry “intranet” that offers secure, direct access to the experience and work-product of GT attorneys, including:
      • Awards, orders, articles and case law
      • Arbitrators, mediators and experts
      • Client specific documents
      • Statutes, industry rules and regulations
      • Memoranda and pleadings
      • Websites

Going Private Transactions

Our team regularly represents companies, independent directors, special committees, buyers and sellers in connection with:

  • Stockholder class and derivative actions
  • Dissenters’ rights appraisal
  • Contests for control
  • Investigations by the SEC regarding promotion of value of the corporation’s publicly traded securities
  • Proxy solicitations and appraisal of fair value of dissenters’ shares
  • Material breaches of representations and warranties in stock purchase agreements
  • Damages or rescission of stock purchase agreements


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At Greenberg Traurig, we are committed to diversity and inclusion in the workplace. The individual attorneys at Greenberg Traurig are committed to nurturing diversity throughout the firm and creating an environment where differences are embraced and utilized creatively.

For us, diversity is about taking action - opening doors for lawyers.

That commitment is reflected by the fact that overall, 40 percent of Greenberg Traurig's attorneys worldwide are women or minorities as defined by the American Bar Association. As of Dec. 31, 2014, our U.S. employees, including attorneys and staff, who met the definition of minority persons reflected a total of 29 percent of our employment base. Approximately 32 percent of our U.S. attorneys and 52 percent of our U.S. employees are women.

Greenberg Traurig's commitment to diversity and inclusion goes beyond any single committee. Committees cannot nurture; they cannot mentor; they cannot create an environment where differences are embraced and utilized creatively. Committees do not lead. Our diverse attorneys however, can and do.

* We welcome and reflect the communities we represent better than any other major law firm in our markets.

* We do not simply rely on a "committee" to achieve this.

* We do so through a commitment to providing a fair opportunity for each of us to reach our full potential.

* We have the personal dedication of many at Greenberg Traurig who identify and bring into our firm this very special diversity.

* The Minority Law Journal 2014 Diversity Scorecard has recognized us as follows:
o No. 1 Ranking, African American Partners
o No. 1 Ranking, Hispanic American Non-Partners
o No. 2 Ranking, Hispanic American Partners

* The National Law Journal has previously recognized our attorneys as among:
o No. 2 Ranking, Female Partner Numbers, Female Scorecard (2013)
o "The 50 Most Influential Minority Lawyers in America" (Three) (2008)
o "The 50 Most Influential Women Attorneys" (Two) (2007)
o "The 100 Most Influential Attorneys in America"
(Two diverse attorneys; three total) (2006)

Diversity in Action: Fostering Diversity in the Profession and Preserving the Pipeline

Greenberg Traurig's Diversity Leadership Community has initiatives that focus on fostering an environment within the firm that supports and encourages diversity and inclusion, and increasing diversity in the profession by increasing access to a legal education for minority students. Helping today's law students and lawyers become tomorrow's business and legal leaders means a larger, more diverse marketplace and a greater pool of talented professionals. And that means more business opportunities for everyone - our firm, our colleagues and, most importantly, our clients.
In this way, our approach to diversity and inclusion mandates a high-level of personal responsibility with regard to the recruitment and retention of diverse attorneys. Attorneys in recruiting, hiring and supervisory roles are continuously made aware of the progress of our efforts. Our personal approach to diversity and inclusion means that Greenberg Traurig lawyers are active at their alma maters and at law schools local to their offices, participating in such programs as career panels; "Meet the Employer" days; and mock interviews, among others.

It has been, and continues to be, our goal to create a well-balanced workforce that contains a significant presence of minorities and women.

Greenberg Traurig creates and supports partner programs with women, minority, gay/lesbian or disability-focused bar associations. We attend and sponsor events at these organizations regularly throughout the United States. The firm works closely with national and local minority bars to address the fostering of diversity and inclusion in the profession on many levels. We support the work of several organizations, including MCCA, NAPABA, NASABA, NBA, NLGBTBA, HRC, HNBA and others.

Additionally, we provide funding through the Holly Skolnick Greenberg Traurig Fellowship Foundation for lawyers and law students to work with public interest groups. Through the Foundation, Greenberg Traurig serves as the largest sponsor of Equal Justice Works Fellowships in the United States and has invested approximately $8 million to support, in whole or in part, almost 127 Equal Justice Works Fellows since 1999.

We invite clients to join us as we work towards:

* Cultivating strategic partnerships with clients and potential clients to leverage our diversity platform to create and deepen relationships and cultivate business opportunities.

* Encouraging our lawyers to facilitate opportunities for our diverse and women lawyers to develop relationships with clients before and after new matters are received.

* Broadening the pipeline of diverse attorneys by expanding relationships with minority bar associations and other legal diversity organizations through our combined support of these networks.

* Focusing on strengthening mentoring programs for female and diverse attorneys at every level.

* Instituting a program that provides a variety of mentoring, rainmaking and training opportunities that can be accessed by a wide range of diverse attorneys across a variety of underserved communities.

* Engaging our Affinity Groups and their allies as a forum for professional development and business development opportunities, as well as for recruiting and retention assistance and as a social exchange to promote inclusion.

Diversity in Action: Employee Resource Networks

Greenberg Traurig's Employee Resource Networks (Affinity Groups) have the goal of addressing the needs of our attorneys and professionals who are diverse. We support Affinity Groups for our attorneys who are African American, Asian American, Hispanic American, LGBT and women, and we continue to gauge opportunities to expand those groups as our needs and demographics dictate.

The firm's Affinity Groups are as follows:

* African American Affinity Group

* Asian Pacific American Affinity Group

* Hispanic American Affinity Group

* Lesbian, Gay, Bisexual and Transgender (LGBT) Affinity Group

* South Asian American Affinity Group

* Women's Initiative

Our goals include:

* Mentoring of junior attorneys within the specific group;

* Recruitment and retention of diverse attorneys;

* Active participation in organizations addressing specific groups; and

* Serving as a forum for group members to discuss and explore issues and opportunities that will add value to client relationships.

Women's Initiative

As an example of our approach, Greenberg Traurig's firm-wide Women's Initiative focuses on retaining and supporting women attorneys through professional development and work/life balance initiatives, as well as through business development training programs and networking opportunities.

We work with like-minded organizations to address these issues on a broader scale in a variety of industries and communities.

Our program targets:

* Attracting and retaining talented women attorneys.

* Supporting business development for women attorneys.

* Serving as industry leaders.

* Impacting the community through leadership and service.

* Maintaining a culture that benefits women attorneys.

Diversity in Action: Suppliers

Greenberg Traurig is committed to the development of Disadvantaged Business Enterprises and Small Business Enterprises (DBE & SBE) suppliers.

As such:

* All business concerns, large and small, majority- or minority-owned, are afforded an equal opportunity to compete.

* A national director of procurement within the firm supports this practice.

* We are committed to diversity with respect to our vendors and suppliers.

* We are amenable to using diverse vendors and suppliers recommended by clients.

Diversity from the Top Down

Cesar L. Alvarez, Co-Chair of Greenberg Traurig, leads our diversity efforts. This is a matter of personal responsibility for him, having entered the U.S. as an immigrant with humble beginnings.

He has previously been honored as follows:

* "Lifetime Achievement Award," Hispanic National Bar Foundation

* "100 Most Influential Lawyers in America," The National Law Journal

* "50 Most Influential Minority Lawyers in America," The National Law Journal

* "Top Most Powerful Hispanics," The Black Book of Poder

* "25 Best Latinos in Business," Hispanic Magazine, The Power Issue

* "President's Award of Merit for Diversity Efforts," The Florida Bar

* "Spirit of Excellence Award," ABA Commission on Racial and Ethnic Diversity in the Profession

* "Lifetime Achievement Award," Chambers USA Awards for Excellence

* "CEO of the Year" award, Multicultural Law Magazine

* "Attorney of the Year Award," Hispanic National Bar Association


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