Securities and Derivative Litigation

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.