Wilson Elser's experience in dealing with securities claims is extensive.  We have handled- from inception through trial- every conceivable type of securities claim brought by public customers or on an institutional basis.

We have equal experience with every type of securities product at issue, from the simple, like stocks and bonds, to the most complex, like derivatives, as well as the manner in which they are traded, such as personal, trust, pension, or 1940 Act accounts.  Our experience also includes claims involving investment banking, market making, options, commodities and the underwriting of new offerings.

Our attorneys represent clients in a range of matters arising under federal and state securities laws, corporate and banking laws and the Employee Retirement Income Security Act (ERISA ), including:

• federal and state securities litigation
• shareholder derivative litigation
• accounting fraud allegations
• public offering litigation
• proxy litigation and contests for control
• U.S. Securities and Exchange Commission investigations and proceedings
• claims arising from stock acquisitions and other corporate transactions
• disputes between advisers, broker-dealers and other market professionals and their clients
• ERISA and trust law claims

Additionally, in the broker-dealer field, Wilson Elser provides focused, cost-efficient handling of sensitive and complex defense of arbitration and litigation matters.  Our attorneys have represented broker-dealer firms in thousands of proceedings.  Because we organize our attorneys in practice teams, our clients benefit from the combined knowledge amassed by our firm.

We provide several forms of consulting, as well, to companies in the broker-dealer field.  On an ongoing basis, we act as counsel on issues that arise in our clients' pursuit of their daily business activities.  We advise on a wide spectrum of retail and institutional brokerage issues, including reporting obligations, trading issues, disclosure, net capital and other back-office questions.

Our team also represents clients in securities enforcement matters.  The mere initiation of an enforcement action by a securities regulator can cause extensive harm to a client's reputation or business prospects. Our attorneys have proactive communication with the regulators at the earliest stage of the process.

Wilson Elser's attorneys also draw on their experience to assist clients in planning and executing internal investigations related to potential violations of securities, banking and other laws, as well as breaches of fiduciary duty.  We offer clients the combination of a deep knowledge of securities industry practices and relevant governing statutes, rules and regulations.