PRACTICE

Securities & Derivative Litigation

Overview

The Pierson Ferdinand Securities and Derivative Team offers comprehensive litigation support for a diverse range of clients, including filing entities, officers, directors, and public entities. These complex cases often involve claims of misstatements and/or omissions, fraud, breach of contract, and other securities-related matters.

  • Trial-Tested Litigation Prowess

    Our Litigation team excels in discerning the critical aspects of a case and collaborates closely with our clients to ensure that litigation is managed in a manner that advances their ultimate objectives.  We work diligently to resolve immediate issues and help our clients avoid similar challenges in the future, while at the same time striving to provide value-add to our clients in an effective representation.

  • Bench Strength and Industry Experienced

    PierFerd Litigation partners provide clients across various industries globally with comprehensive commercial litigation and dispute resolution services. From coast to coast, in state and federal courts, our experience spans from appellate to high-stakes commercial and corporate fraud litigation, to IP and Insurance related disputes, with the ability to scale up for our clients as and when necessary. 

  • Client-Focused Approach to Disputes

    We view our seasoned litigators as an extension of our clients' in-house legal teams, working collaboratively to achieve optimal outcomes through strategic partnership, early intervention, and a comprehensive approach to dispute resolution.

  • Team-Orientated, Comprehensive Strategies

    We seamlessly collaborate with other PierFerd practice groups to leverage and bring to bear the appropriate industry experience wherever necessary, ensuring litigation strategies are comprehensively addressed, including matters related to banking and financial services, cyber-risk, healthcare, insurance, intellectual property, employment and labor, real estate, among others.

Capabilities

Our legal services include: securities violations, representing clients facing allegations of misstatements and omissions, with a focus on compliance with Section 10(b) and 20(a) of the Securities and Exchange Act of 1934; fraud and contract claims, representing selling entities, officers, directors, and public entities in cases brought by private equity purchasers; mergers and acquisitions, representing represent public entities, officers, and directors in cases involving securities and state law claims related to mergers; derivative litigations, representing entities, officers, and directors in derivative litigations and arbitrations including claims for breach of fiduciary duty, fraud, and other equitable claims; investor representation, representing investors involved in proceedings related to entity dissolution; private equity portfolio, representing private equity portfolio companies in claims concerning breach of contract and fraud; and regulatory investigations, representing entities, officers, and directors facing investigations by regulatory bodies such as the Securities Exchange Commission and the Department of Justice.

In addition to our advocacy role, the Pierson Ferdinand Team has also worked in monitoring and receiver roles in cases involving alleged fraud by broker-dealers, demonstrating our commitment to upholding the principles of justice and fairness within the securities and derivatives landscape.