Securities Litigation and Government Investigations

Evening in Downtown Chicago

We have regularly acted as counsel, for plaintiffs and defendants, in securities litigation in numerous federal and state courts, and in securities arbitrations. Representative matters include our firm’s representation of certain investment funds against their broker in a five-week arbitration that resulted in a multimillion-dollar award described by the Wall Street Journal as the “largest given to a customer in a dispute with a brokerage house;” and our current representation of the former Chairman and CEO of a publicly traded company who is accused in several class actions of inadequate financial reporting and related disclosures.

We also represent individuals in connection with investigations by the Securities and Exchange Commission and other government agencies. In this regard, we are familiar with how these representations differ from traditional, adversarial litigation. In a world in which investors, creditors, and multiple government agencies simultaneously investigate and litigate the same conduct, we take no action without considering the impact on the related matters, whether we are handling those related matters or not.



Matthew Rice

Jerry Santangelo