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While securities matters can involve highly complex issues, WardKim has the experience to simplify and maneuver the legal complexities to resolve these disputes. We prosecute and defend directors, officers, and other professionals in securities and shareholder actions in state and federal court. Our attorneys have handled securities-related disputes involving various industries, including hedge funds, financial services firms, mortgage companies, roll-ups, aviation companies, electronics companies, and other technology-based companies.
We have litigated numerous matters relating to public reporting, public offerings, Sarbanes-Oxley issues, and other “cutting-edge” securities issues. We have represented corporations, directors, officers, and board committees where shareholders allege mismanagement, misstatements, omissions or other market manipulation, or challenge mergers, change-of-control transactions, and other corporate actions. We also have defended corporations and directors and officers that have become targets of regulatory investigations, and have handled claims for and against brokers and other financial professionals involving allegations of fraud or misrepresentations in the sale of securities.
Through our depth of experience in securities litigation, we provide clients with practical strategies for minimizing exposure in the face of a regulatory investigation or litigation.
Examples of our representative experiences in this area are available here.
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