Corporate and Securities Litgation

Securities Litigation and SEC Enforcement

A nationally-ranked securities litigation practice offering business-focused strategies.

In today's speed-of-thought business environment, clients require counsel equipped with the sophisticated capabilities, experience and resources necessary to respond quickly and effectively to commercial disputes, regulatory investigations and law enforcement actions. Hunton & Williams LLP's securities litigation and SEC enforcement team counsels clients on their most complex and challenging situations, providing full-spectrum legal counsel in the following areas:

  • Broker-dealer disputes and arbitrations
  • Complex consumer and financial services litigation
  • Fiduciary duty and derivative litigation
  • Internal investigations
  • Merger and acquisition litigation
  • SEC and DOJ investigations and enforcement actions
  • FCPA investigations
  • Securities and shareholder litigation
  • Structured products litigation
  • White-collar crimes and business defense
  • Proxy fights or change-in-control disputes

Securities Litigation and Class Actions
As corporate finance and financial products have grown increasingly sophisticated, there has been a concurrent rise in the volume and complexity of related litigation. Our securities litigators have a deep understanding of today's capital markets, and provide counsel on a complete range of consumer and commercial disputes. We represent companies, corporate officers, boards of directors and committees of boards of directors in class actions and shareholder derivative actions involving corporate governance, compliance and allegations of breaches of fiduciary duties.

Our lawyers have extensive trial experience and regularly represent banks, mortgage lenders, financial services companies, institutional investors, shareholders and other parties in litigation and arbitration in venues throughout the United States.

Members of our team understand the often-sensitive underlying issues that lead to litigation and anticipate potential areas of concern for our clients facing litigation — a forward-thinking approach when developing comprehensive strategies. Regardless of the situation, we tailor our strategies to each company, industry, financial instrument and company to achieve successful results.

Mergers & Acquisitions Litigation
Real or threatened litigation can halt a major corporate transaction in its tracks, and often on the eve of a deal's closing. We anticipate, identify, prevent and resolve disputes related to mergers, acquisitions, tender offers, proxy contests and corporate control contests, among other situations. Our M&A litigators work closely with colleagues from our corporate practice and clients, providing integrated solutions to the most complex and challenging situations facing our clients.

Arbitration and Dispute Resolution
Members of the team regularly handle arbitrations before the National Association of Securities Dealers, American Arbitration Association, New York Stock Exchange, Commodity Futures Trading Commission and the Financial Industry Regulatory Authority. We guide clients, including brokerage firms, broker-dealers, insurance companies and other financial institutions, through the arbitration process, including selection of the most appropriate forum and arbitrator and managing the myriad procedural issues associated with arbitration.

Investigations
Recent years have seen the Securities and Exchange Commission and Department of Justice take an increasingly aggressive approach to pursuing investigations and enforcement actions. Members of our team represent companies and individuals in connection with securities investigations, including many focused on securitization products and related disclosures. The firm’s securities litigators have led some of the largest, most comprehensive internal investigations in the United States.

Our experience includes representing the federal government agency responsible for investigating and managing the collapse and conservatorship of one of the largest government-sponsored enterprises. Additionally, we have considerable experience defending against and investigating alleged violations of the Foreign Corrupt Practices Act on nearly every continent.

Accusations of individual and corporate wrongdoing can have a significant impact on a business, in the court of law and the court of public opinion. The work done by our lawyers is augmented by the TurnStone Investigative Group, Hunton & Williams’ investigative department staffed by former FBI, DEA, GAO and other law enforcement officials, allowing us to discreetly, quickly and effectively conduct sensitive investigations.

Team Accolades
Our practice and lawyers have consistently been recognized as national leaders in the securities litigation field. Publications such as the 2013 Benchmark Guide to America's Leading Litigators, Chambers USA 2012, and the 2013 BTI Client Service A-Team have singled out our approach to client service, record of success and business and legal acumen, and we were named a “Securities Litigation Standout” by BTI Consulting in 2011. Most recently, the team was honored in the US News & World Report "Best Law Firms" 2013 rankings, nationally and regionally.

In addition, our lawyers are active members of legal and industry associations, and regularly speak and write on emerging issues in the law and business. By remaining engaged in the industry, we bring a valuable perspective to client issues and innovative solutions for success.