Securities Litigation & Compliance Matters distills the major issues and implications of legal decisions and regulatory developments involving federal and state securities laws, financial services companies, and Delaware corporations. The blog’s editors and contributors — attorneys from Mintz Levin’s Litigation and Corporate & Securities practices — are dedicated to providing relevant insights and analyses of litigation, regulatory enforcement, and compliance.
The blog also covers directors and officers (D&O) liability insurance issues that arise in this area.
Bret is a Member in the firm and is based in the Boston office. He has significant experience with SEC, FINRA, DOJ and Massachusetts Securities Division investigations as well as arbitrations and private civil litigation involving the state and federal securities laws. He regularly represents public and private companies, and their officers, directors, and employees, in securities litigation, before regulatory bodies, and in SEC investigations.
A. W. “Chip” Phinney III, PhD
Chip is a Member in the firm and is based in the Boston office. Chip co-chairs the firm’s Appellate Practice. He focuses his practice on shareholder and securities litigation and advising officers and directors on fiduciary duties and corporate governance. Chip has tried shareholder suits in both state and federal courts and has represented corporations, directors, and officers in securities class actions, derivative suits, and matters involving the SEC. Chip has written extensively on topics in appellate practice and corporate litigation and has been actively involved in legal and corporate governance education programs.
Nancy is a Member in the firm and is based in the Boston office. She represents insurers in coverage disputes arising under directors and officers, professional liability, fiduciary, financial institutions, and general liability policies. Nancy also advises corporations and individuals on risk management issues. She regularly works with corporate boards on insurance program audits and reviews, D&O indemnity agreements, insurance issues related to road shows and IPOs, and insurance and indemnity due diligence for corporate transactions.
David is a Member in the firm and is based in the New York office. He focuses his practice on commercial litigation in federal and state courts, including complex breach-of-contract, fraud, and securities matters. David has extensive experience representing banks in bankruptcy litigation and other commercial matters, including the defense of fraudulent transfer claims and the litigation of disputes concerning the valuation of businesses and assets.
Mike is a Member in the firm and is based in the Boston office. He is a seasoned litigator with extensive civil and criminal trial experience. Across federal, state, and administrative courts and agencies, Mike has tried numerous cases involving complex securities litigation. He routinely advises corporate executives, investors, and entrepreneurs on business and legal issues, including executive risk management, board disputes, internal investigations, and disputes with shareholders, government agencies, and third parties.
Frank is a Member in the firm and is based in the New York office. He is co-founder of the firm’s Distressed Debt & Claims Trading Practice. Frank focuses his practice on securities, fiduciary duty, and complex commercial disputes. He has extensive experience litigating and advising clients involved in disputes related to distressed debt transactions. Frank has litigated in state and federal courts throughout the country and has arbitrated extensively before FINRA as well as the American Arbitration Association and JAMS. He has also mediated a number of disputes before those same bodies.
Adam is a Member in the firm and is based in the New York office. He co-chairs the firm’s Investment Funds Practice. Adam counsels hedge funds, private equity funds, broker-dealers, banks, and registered investment companies on regulatory and compliance issues as well as on formation and structuring. He represents both well-established and start-up entities.
Bio | LinkedIn
Steve is an Of Counsel in the firm and is based the Boston office. Steve focuses his practice on financial services law and is globally recognized for his knowledge of anti-money laundering and sanctions regulations. He handles regulatory matters for institutions and high-level financial services executives. Steve has represented firms as outside counsel, a compliance officer, or in-house counsel before all major US financial services regulators. Steve served as counsel to the Committee on Banking and Financial Services of the US House of Representatives for five years during the late 1990s. From 1992 to 1995, Steve served as a general attorney in the SEC Office of the General Counsel.
Seth is a Member in the firm and is based in the New York office. Seth’s practice focuses on commercial, corporate, and securities litigation matters in federal and state court as well as before the AAA, NASD, and NYSE. His clients include multinational corporations, telecommunications companies, hedge funds, large financial institutions, high-net-worth individuals, and one of the world’s largest stock transfer agents. He represents entities and individuals in investigations and proceedings brought by government enforcement agencies and regulators.
Bio | LinkedIn
Pam is a Member in the firm and is based in the Boston office. She focuses her practice on securities compliance, executive compensation, and corporate governance matters. Pam advises public companies on compliance with the Securities Act of 1933, the Securities Exchange Act of 1934, stock exchange requirements, the Sarbanes-Oxley Act of 2002, and the Dodd-Frank Act of 2010. She works with management teams, boards, and compensation committees to develop and design appropriate executive compensation programs. Pam also advises public and private companies and individuals on executive compensation matters and provides executive compensation and securities counsel to clients in merger and acquisition transactions.
Bio | LinkedIn
Heidi is a Member in the firm and is based in the Boston, New York, and London offices. She is an internationally recognized lawyer with extensive experience in corporate governance, bribery and corruption, compliance and internal investigations, indemnification, and directors and officers and fund management insurance in both the corporate and litigation context. She advises companies, brokers, venture capital firms, private equity firms, hedge funds, family offices, investment banks and other investment advisors, and their senior executives on identifying risks, and protecting against those risks. She is admitted to practice Massachusetts and New York and is a solicitor in England and Wales.
Evan is a Member in the firm and is based in the San Francisco office. His complex litigation practice includes commercial contract disputes and insurance-related litigation. Evan has spent more than a decade defending putative class actions in California and elsewhere. He also has extensive experience in insurance coverage and contribution actions
Joel is an Associate in the firm’s Boston office. His practice encompasses a wide range of litigation matters. Prior to joining Mintz Levin, Joel held a clerkship position with the Massachusetts Supreme Judicial Court, serving under Associate Justice Ralph D. Gants. Before beginning his legal career, Joel had a successful career in human resources. He is admitted to practice in Massachusetts.
Bio | LinkedIn
Harvey is the Managing Member of the firm’s Los Angeles office. His practice includes antitrust counseling and complex commercial and business litigation. Harvey has experience as trial and appellate counsel in antitrust cases and class actions within federal and state courts. He has conducted compliance seminars for major corporations and performed Hart-Scott-Rodino filings in mergers and joint ventures. After graduating from law school, he served as an attorney advisor to Federal Trade Commissioner Philip Elman in Washington, DC. He also served as Regional Director of the FTC for two years.
Peter is a Member in the firm and is based in the Boston office. He co-chairs the firm’s Securities Litigation Practice. Peter is one of the nation’s leading securities litigators. He has represented clients in well over 100 cases, investigations, and proceedings throughout the country. He has successfully defended SEC investigations, class actions, derivative suits, stock exchange proceedings, and state securities investigations, and has handled numerous FINRA arbitrations, among other matters. Peter also represents hundreds of institutional investors with respect to the monitoring and evaluation of securities class action settlements.
Bio | LinkedIn
Larry is a Member in the firm and is based in the Boston office. He specializes in complex financial litigation, including contract disputes, accounting and actuarial malpractice, insurance, corporate governance, and class action defense cases. He has represented large and small companies and financial institutions in trial courts, appellate courts, and arbitration proceedings across the United States. Because of his undergraduate background in accounting, Larry frequently handles the damages component of complex cases.
Bio | LinkedIn
Jonathan is a Member in the firm and is based in the San Francisco office. He serves as the Head of West Coast Litigation. His focuses on the defense of business and securities litigation and government enforcement actions. Jonathan has provided counsel in class action litigation, challenges to corporate transactions and governance, and other matters regarding allegations of fraud and breach of fiduciary duty. His clients include public and financial services companies, officers and directors, and investment bankers. He also serves as counsel defending and conducting internal investigations to those subject to enforcement action under the SEC, the DOJ, FINRA, and other government agencies and self-regulatory organizations.
Bio | LinkedIn
Adam is a Member in the firm and is based in the Boston office. He chairs the firm’s Israel Business Group. His practice encompasses a range of litigation matters, with an emphasis on securities-related issues, and includes significant federal and state court trial experience. He represents corporations, officers, directors, accountants, and other individuals in SEC investigations and enforcement proceedings as well as in civil litigation.
Jack is a Member in the firm and is based in the Boston office. He co-chairs the firm’s Securities Litigation Practice. Jack is a seasoned trial lawyer whose clients include public and private corporations, officers, directors, special committees, accountants, mutual funds, portfolio managers, and investment advisors. His practice encompasses all facets of securities and financial fraud litigation, and he has handled complex civil and criminal matters involving insider trading, revenue recognition, high-yield investment schemes, market timing, late trading, options backdating, and auction rate securities. As well, Jack represents clients in internal investigations and investigative and enforcement proceedings conducted by the SEC, FINRA, and state regulatory agencies. He also has represented clients in arbitration and alternative dispute resolution.
Aaron is an Associate in the firm’s Washington, DC office. He focuses his practice on white-collar criminal defense, Foreign Corrupt Practices Act internal investigations and compliance reviews, and securities litigation. He has extensive experience handling white-collar matters, including insider trading investigations, corporate governance investigations, Arms Export Control Act investigations, and other financial fraud investigations and enforcement matters brought by the SEC and the DOJ. During law school, he clerked in the Enforcement Division of the SEC, the US Attorney’s Office for the Northern District of New York, and interned in the Investor Protection Bureau of the New York State Office of the Attorney General.