Securities and Investment Claims

We have represented investors, placement agents, syndicators, issuers of equity and debt, and various other interests involved in investment scenarios, including, for example, the following:

  • Defense of hedge fund principal against former investors asserting claims of federal and state securities fraud, fraudulent inducement, negligent misrepresentation and unjust enrichmentCoordinated multiparty defense in a litigation that included two motions to dismiss, extensive electronic discovery, including deal data room analysis, and multiple local and out of state party and fact witness depositions.  Worked closely with defendants’ expert witness and took and defended expert witness depositions.  Successfully moved for dismissal of a portion of the allegations at the pleading stage and the remainder on summary judgment.  Although the summary judgment portion of the dismissal was reversed on appeal to the Second Circuit, our analysis of the appellate decision led the district court to narrow the issues on remand to eliminate all state law claims, which in turn significantly narrowed the issues and led to a defense verdict at trial.
  • Defense of quantitative trading firm against claims of breach of fiduciary duty, fraud, conversion and breach of contract made by purported investor in the firm’s proprietary trading system.  Successfully dismissed claims and resolved matter without payment to any plaintiff.
  • Representation of public biopharmaceutical company in connection with stockholder claim asserting breach of a lending arrangement brought against the company and another stockholder and ensuing SEC investigation. Both were resolved favorably.
  • Representation of investor/professional chairman in action against founder of high tech company arising out of founder’s misrepresentations to investors, manipulation of ownership structure, and flouting of SEC consent judgment.  Utilized enforcement of manager’s personal guaranty, aggressive post-judgment discovery and a draft complaint to restore investor’s funds.
  • Representation of foreign real estate investor in connection with fraud claims against his U.S. based partners and advisors.  Brought requisite arbitration proceeding to conclusion and obtained substantial judgment against multiple defendants, including former legal counsel to investor.