You can expect to work with attorneys who are among the nation’s most experienced litigators in all aspects of securities defense. Our litigators include former prosecutors with the U.S. Department of Justice, Securities and Exchange Commission, state agencies and self-regulatory organizations, as well as former principals in security brokerage, investment advisory and management firms, and a former supervisor of examiners at the National Association of Securities Dealers, now FINRA.

Broad securities litigation experience. We regularly defend publicly traded companies and their officers and boards, committees and auditors; commercial banks, investment banks, broker-dealers, investment advisers, mutual funds, private equity funds, hedge funds and real estate investment trusts in securities class actions, government enforcement proceedings, special investigations and in proceedings before self-regulatory agencies.  We also represent companies and individuals in “tag along” cases that often accompany federal securities class actions, such as shareholder derivative actions, ERISA lawsuits and litigation within the federal bankruptcy courts. Vedder Price attorneys represent broker-dealers, investment advisers and investment professionals in FINRA, NYSE, CBOE and AAA arbitrations and mediations. We defend charges of securities fraud, breach of fiduciary duty, unsuitability, churning, negligence, failure to supervise, improper order executions, unauthorized trading, excessive commissions and markups and over concentration of investments. In addition, our attorneys have extensive experience in representing broker-dealers and investment advisers in employment-related claims, including disputes related to employee raiding, unfair competition and restrictive covenants, as well as claims related to Form U5 defamation.

White Collar Criminal Defense