Securities Litigation

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Responding to Securities Issues

Attorneys in Saul Ewing's Securities Litigation practice assist clients in responding to issues raised during securities investigations and litigation stemming from investigations. We represent corporations large and small, public company board committees, and securities professionals (financial advisors, branch office managers, and regional managers) in all aspects of securities litigation, including investigations or enforcement proceedings initiated by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state regulators and other agencies; customer disputes; private securities class actions; inter-industry disputes; expungement proceedings and securities tribunal arbitration claims. We have also helped individual investors recover losses resulting from broker-dealer misconduct, unsuitable investment recommendations, and proprietary products failures, including violations of securities industry rules and regulations.

Intra-Industry Disputes: Rapid Response

Responsiveness can be the key to protecting our clients' businesses from damage. In emergency situations, we respond quickly to protect our clients' interest through temporary injunctions. The attorneys in Saul Ewing's Securities Litigation practice also respond quickly to intra-industry disputes in order to minimize potential damage to a client’s business.

Dealing with Regulatory Authorities: Efficient and Effective Representation

Saul Ewing's Securities Litigation practice deals with legal issues in one of the most highly regulated industries in the nation. In their course of their work, our attorneys have had frequent contact with:

  • The Securities and Exchange Commission (SEC)
  • The Financial Industry Regulatory Authority (FINRA)
  • The New York Stock Exchange (NYSE)
  • The National Association of Securities Dealers (NASD)
  • State regulatory authorities

Through investigatory, arbitration and litigation matters, we deal with personnel from these entities. Our familiarity with the workings of these regulatory bodies helps us provide efficient and effective representation for our clients.

On the Front Line: Experienced Litigators

The Securities Litigation practice includes litigators experienced in navigating the rapidly changing world of securities regulations. Our attorneys have defended class actions arising from Section 10(b) of the 1934 Securities Act, and Sections 11 and 12 of the 1933 Securities Act. We have attorneys who served as lead counsel to underwriting syndicates in recent securities litigation cases, were involved in market-maker litigation for the National Association of Securities Dealers Automated Quotations (NASDAQ) system and participated in cases challenging investment banker firm practices that discourage flipping in initial public offerings.


Key Contact
John F. Stoviak
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