USA

Nationwide

Securities


Due to the number of tables in this section, the editorial is in alphabetical order by firm name.

Securities - Nationwide

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Basic facts about the department
Key offices include New York and Washington, DC.

What the team is known for A highly regarded securities offering acting for a diverse range of clients, including public companies, accounting firms, broker dealers and investment managers, with respect to regulatory enforcement proceedings.

Strengths (Quotes mainly from clients)

"The lawyers we work with are very conscientious, thorough and knowledgeable of the issues and SEC procedures and practices. They have a good way of dealing with the SEC and are able to approach things on a cooperative basis which is a good way to handle it."

"I was impressed by the quality of service, the promptness and the timeliness of responses."

Notable practitioners  

Michael Trager is a respected figure in the enforcement space. Sources say: "He really is at the top of his game. He's a very effective advocate and he's incredibly tenacious. He's dogged at making an argument, he's hands-on and he's immersed in the factual record."

Basic facts about the department
Key offices include New York, Chicago and San Diego.

What the team is known for Highly esteemed by peers and adversaries alike for representing plaintiffs such as public pension funds and institutional investors in securities class actions and shareholder litigation.

Strengths (Quotes mainly from clients)

"I would include them amongst the best plaintiff firms."

"Bernstein is a very effective firm."

Work highlights Acted as lead counsel in a securities class action arising from an issuance of debt and equity securities by Lehman Brothers, most recently achieving a $99 million settlement against Lehman's former auditor Ernst & Young.

Served as co-lead counsel in a securities class action against JPMorgan Chase in connection with allegedly untrue statements concerning the issuance of mortgage-backed securities. The team reached a $280 million settlement.

Notable practitioners  

Star plaintiffs' attorney and senior founding partner of the firm Max Berger is considered preeminent in taking on financial institutions in securities class actions and shareholder litigation. Sources name him "the dean of the plaintiffs' Bar."

Salvatore Graziano is routinely called upon to litigate securities fraud class actions. Peers describe him as "a very smart, disciplined lawyer."

Gerald Silk frequently represents institutional investors in securities litigations. He is adept in cases relating to federal and state securities laws, breach of fiduciary duty and accountants' liability. Peers describe him as "a smart strategist who understands what makes a good case and what doesn't."

Basic facts about the department
Key offices include New York and Washington, DC.

What the team is known for Houses an impressive bench of former SEC staff, making the team an impressive offering for regulatory compliance and enforcement matters. Also lauded for its strength in litigation, regularly defending international corporations and financial institutions and their boards of directors in the most sensitive matters.

Strengths (Quotes mainly from clients)

"Cleary continues to be excellent in litigation. They're absolutely a firm we turn to with great regularity."

"If we're talking about technical regulatory capabilities, not only do they have the breadth but also the depth of talent."

"A very strong litigation group. They're very good in corporate and international corporate law and have good people in the regulatory criminal space."

Work highlights Continued representing a collection of global financial institutions in litigation stemming from the fraud committed by Bernie Madoff. Recently achieved a full dismissal of claims brought by investors against The Bank of New York Mellon.

Continues to advise systemically important financial institutions on the restructuring of their swap-dealer businesses in compliance with Dodd-Frank.

Won a motion to dismiss on behalf of Barclays Capital arising out of plaintiff Space Coast Credit Union's investment in CDOs.

Advised SIFMA on a number of matters, including the revision of its Master Securities Forward Transaction Agreement.

Notable practitioners  

The "incredibly talented and very resourceful," Giovanni Prezioso is a former general counsel of the SEC and draws on this experience in both the regulatory enforcement and advisory spaces. Peers highlight "his depth of knowledge and level of understanding of SEC regulatory, litigation and appellate issues."

Mitchell Lowenthal is a securities litigator praised by clients for being "very responsive, knowledgeable and creative. He gets good results in litigation. He's not pretentious and he's straightforward." He recently led a team defending a collective of underwriter clients including Merrill Lynch, Morgan Stanley and UBS Securities in a securities class action arising from an offering of preference shares by RBS.

Lewis Liman is well versed in defending major financial institutions in securities class actions. Peers describe him as "well regarded," "very bright" and "a prestigious guy." According to one source "he works very hard and is very capable."

Senior statesman Alan Beller is highly regarded for his deep experience in the securities sphere. He elicits substantial praise with one client reporting "he is the one lawyer I cannot do without. I absolutely depend on him for the most difficult disclosure issues we face. He has extraordinary judgment, and his SEC background means he knows exactly how to position us safely. He has a very practical common sense approach to tricky issues."

Significant clients J.P. Morgan Chase, Bank of America, Barclays, HSBC, ING Financial Services.

Basic facts about the department
Key offices include New York and Washington, DC.

What the team is known for Well-reputed securities regulatory practice demonstrating broad expertise across compliance advice and regulatory enforcement defense. Represents an array of clients from senior executives and traders to financial institutions and large corporate clients.

Strengths (Quotes mainly from clients)

"They're highly skilled and well connected with both the regulators and thought-leaders in the field. Their firm structure fosters a refreshing team-oriented approach to counseling. They listen to what the client wants rather than telling the client what they think the client should want."

"They have deep expertise in a number of areas."

Work highlights Acted as regulatory counsel for GE Capital in the spinoff of its subsidiary Synchrony Financial. The matters included the IPO of Synchrony's common stock, a senior notes offering and the ongoing preparations for the separation.

Acted for Salix Pharmaceuticals with securities regulatory aspects of its $2.6 billion acquisition of Santarus.

Notable practitioners  

David Martin advises corporates, directors and investors on regulatory compliance and corporate governance. Clients say: "Because of the breadth of his experience and his thoughtful approach, he is a good person to have on your team when complex judgment calls need to be made."

Bruce Baird is very highly thought of in the securities enforcement space. Baird couples securities expertise with skill in white-collar criminal defense.

David Kornblau represents banks, stock exchanges, asset management firms and individuals in securities enforcement proceedings. Sources say: "He's particularly adept at analyzing the weakness of a case through the prism of litigation and casting his clients' interests in the best possible light."

Keir Gumbs has a strong reputation in the advisory space. Clients highlight his "interpersonal skills and responsiveness, his knowledge of the proxy rules and connections with the SEC staff. He has strong knowledge of securities regulation across the board and stays connected to developments in the community to provide practical, not just theoretical, counseling."

Significant clients Broadridge Financial Solutions, UnitedHealth Group, Eli Lilly and Company, Procter & Gamble, Avid Technology. 

Basic facts about the department
Key office is New York.

What the team is known for An established securities practice, accomplished in bet-the-company securities fraud class actions as well as disputes arising from the credit crisis and M&A. Enjoys a noteworthy regulatory advisory practice drawing on its expertise in compliance, reporting and risk management.

Strengths (Quotes mainly from clients)

"I think you get an exceptional level of service, availability and quality of advice. For critical corporate and litigation matters you get good access, they work around the clock to meet your needs."

"They are obviously very smart, and they are extremely available and accessible. They are very timely and very thoughtful and I would say their written work product is especially strong and very well researched."

"They have always been viewed as one of the top firms in the mixed area of corporate law and litigation. They have kept their level of performance in bet-the-company type cases and civil litigation by developing their partners. That's the reason for their success - it's the quality of lawyering at a very high level."

"The whole firm is very efficient. They don't overstaff things, and they get to the bottom of a case very quickly."

Work highlights Represented IBM in an FCPA investigation by the SEC concerning the client's operations in China and South Korea resulting in a settlement with no need to admit the allegations.

Defended Merck, as well as several current and former officers and directors, in a federal securities class action and numerous securities cases brought by institutional investors in connection to the client's development and sale of VIOXX medication.

Continued to represent Bank of America with regards to its periodic reporting and compliance obligations.

Notable practitioners  

Richard Clary is an eminently respected litigator at the forefront of this space. He has a long history of litigating in the most high-profile cases of the time, recently defending Credit Suisse in the ongoing RMBS litigation. Sources say: "I have a lot of respect for him. He is a very elite lawyer. He is a very smart, very precise guy."

John White currently serves as the chair of the corporate governance and board advisory practice. He brings deep knowledge to the team having previously served as the director of the SEC's Division of Corporate Finance. Peers report: "He is fabulous. He really is the dean of the advisory space. He's terrific."

Robert Baron is managing partner of the firm's litigation department and is frequently called on by national and international financial institutions and issuers to handle high stakes and complex class actions. Sources describe him as "very professional," and say "he represents his clients well."

Clients commend securities litigator Antony Ryan's "processing power," reporting "he's very fast and he retains everything. He has an encyclopedic memory which is very useful for matters that extend for protracted periods. He's able to recall details with great ease so he's a wonderful asset in that regard." He is highlighted for his strength in accountants' liability cases.

Susan Webster is head of the firm's general corporate practice and is noted for her expertise in advising boards of directors on regulatory compliance and corporate governance issues, crisis management and public reporting.

Significant clients Barnes & Noble, Credit Suisse, Deloitte & Touche, J.P. Morgan Chase, PricewaterhouseCoopers.

Basic facts about the department
Key offices include New York and Washington, DC.

What the team is known for Accustomed to defending leading investment banks in high-stakes litigation, with particular flair in cases related to the misselling of debt derivatives. Impressive regulatory offering comprised of former officers of the regulatory agencies, forming an integrated advisory and enforcement practice.

Strengths (Quotes mainly from clients)

"A go-to firm for large investment banks. They have a very strong litigation practice and a great reputation with clients."

"I feel every person there is consistently high quality. If I needed to refer a client to another law firm for securities, financial fraud or corporate governance I always think of Davis Polk. They're very professional."

Work highlights Defended the 33 underwriters of the Facebook IPO against claims brought by shareholders in a consolidated class action and derivative actions. The claims allege that Facebook and certain underwriters had reduced its earning projections and shared those forecasts with certain investors.

Represented Clearstream Banking in connection with investigations by OFAC and the US Attorney's Office, alongside a parallel civil litigation, concerning allegations of the violation of US money-laundering laws and Iran sanctions.

Notable practitioners  

Annette Nazareth is an eminently respected practitioner in the regulatory space having served as the SEC's director of the division of market regulation and then commissioner of the SEC. Sources attest to her "very deep network of relationships" with senior regulators.

James Rouhandeh is recognized for his proficiency in securities litigation. He frequently defends top investment banks in litigation related to the sales of RMBS, CDOs and other financial instruments. Rouhandeh impresses in his "overall management of major litigation," say sources. 

Linda Chatman Thomsen is a leading light in the enforcement defense space and is experienced in representing clients in front of the SEC, the DOJ, the CFTC and FINRA, among other agencies. Sources name her "a terrific regulatory lawyer."

Lawrence Portnoy is well versed in high-stakes shareholder litigation and recently represented Comcast in eight class action complaints challenging the client's $45 billion merger with Time Warner Cable. Sources say: "He's about as smart as they come. He's a wonderful guy and a very strong lawyer."

Significant clients Bank of America, Barclays, BATS Global Markets, J.P. Morgan Chase, MF Global.

Basic facts about the department
Key offices include New York and Washington, DC.

What the team is known for Strong performance defending major financial institutions in shareholder class actions, alongside solid expertise in defending individuals and corporates with respect to regulatory investigations by agencies such as FINRA and the SEC.

Strengths (Quotes mainly from clients)

"I respect their ability to put together a team that can handle a matter substantively and creatively, as well as economically." 

Work highlights Successfully defended the Federal Reserve Bank of New York against an action brought by Starr International alleging breach of fiduciary duty claims and violation of the Takings clause of the US constitution.

Advised Toyota in a variety of state and federal enquiries and investigations including crisis management, SEC investigations and congressional enquiries.

Notable practitioners  

Regulatory expert Paul Berger is noted for his representation of clients in SEC and DOJ investigations. Peers name him "a very thoughtful lawyer."

Jonathan Tuttle's practice straddles securities class actions and shareholder litigation and regulatory enforcement actions brought by the SEC, DOJ, FINRA and the Public Company Accounting Oversight Board (PCAOB). Sources attest that Tuttle "does a great job for clients."

Significant clients MetLife, J.P. Morgan Chase, Westfield American Trust, Providence Equity Partners, Royal Dutch Shell.

Basic facts about the department
Key office is New York.

What the team is known for Respected expertise in regulatory enforcement actions and in securities class actions and shareholder derivative cases, and a recognized specialty in mutual fund litigation. Often represents individuals and entities in front of the SEC, FINRA, the CFTC and the DOJ.

Strengths (Quotes mainly from clients)

"A very talented group of lawyers."

Work highlights Represented seven Oppenheimer municipal bond mutual funds in consolidated class actions alleging misstatements in the funds' prospectuses.

Continued representing Jon Corzine, the former CEO of MF Global Holdings, in investigations and a class action stemming from the bankruptcy of MF Global.

Notable practitioners  

Andrew Levander is highly respected for his dual expertise in regulatory enforcement and securities litigation. Sources say: "He's a terrific lawyer, a very able guy and leads a very good team."

Significant clients OppenheimerFunds, UBS, AIG, Deutsche Bank.

Basic facts about the department
Key offices include New York, Los Angeles and Washington, DC.

What the team is known for Equally adept in the spheres of litigation and regulation. Offers a leading securities litigation team in California and a strong New York offering and frequently achieves victories in shareholder derivative litigation. Houses a formidable bench of former officers of the SEC and Commodities Futures Trading Commission (CFTC) accomplished in high stakes enforcement matters.

Strengths (Quotes mainly from clients)

"They have done an extraordinary job of putting together the case and mastered some very complex material. They have done a great job of locating and preparing witnesses and their arguments are easy to understand. They're very responsive and very good communicators with lots of intellectual horsepower."

"The lawyers in the compliance and securities law area have each provided very valuable advice. They're responsive experts in their field and have done a great job."

"They're extremely knowledgeable about the area in which we consult them and they're very efficient and very responsive."

Work highlights Successfully appealed in the Supreme Court to bar claims against clients Credit Suisse, Deutsche Bank, Goldman Sachs and Morgan Stanley relating to 106 offerings of RMBS, leaving the previous ruling in the Second Circuit intact.

Successfully defended Nelson Obus, the general partner of Wynnefield Capital, in an insider trading case brought by the SEC. After two years of discovery, the team successfully achieved summary judgment.

Notable practitioners  

Barry Goldsmith, formerly the chief litigation counsel of the SEC, cochairs the firm's securities enforcement group. Sources say: "Barry is particularly good on market regulation issues and trading issues."

Mark Kirsch is at the vanguard of the US securities litigation market and enjoys a stunning reputation. One peer states: "Mark Kirsch is really coming into his own. He's had a lot of interesting cases for financial institutions and has a very effective courtroom manner."

Former director of the division of corporate finance Brian Lane is a prominent figure in the securities advisory space, often counseling on compliance matters and corporate governance. According to clients: "He is outstanding. He has a great depth of knowledge. He is always accessible and gives quick and effective advice."

John Olson is a principal figure in the advisory sphere and frequently advises on corporate governance. Commentators say: "He's a dean of this Bar. He's very smart, forthright and does the right thing. And he's a pleasure to deal with."

Joseph Warin, chair of the DC office's litigation department, is a noted expert in white collar and is skilled in both civil litigation and in defending corporations, officers and directors in enforcement actions brought by the SEC. Clients describe him as "absolutely fantastic."

Los Angeles-based Dean Kitchens is highlighted as one of the top securities litigators in California. He is often called on to represent issuers, underwriters, accounting firms and individuals in complex securities litigation. Sources regard him as "a phenomenal trial lawyer" who has "consistently good judgment."

Mark Schonfeld enjoys a growing reputation in the arena of regulatory enforcement. Clients describe him as "a very strategic, seasoned professional. He's measured, thoughtful and incredibly proactive in terms of keeping clients updated. He's detail-oriented and produces extremely high quality work."

Lawrence Zweifach is a former federal prosecutor and headed up the criminal division at the US Attorney’s Office for the Eastern District of New York. He is identified for his broad strength across securities litigation, enforcement and white collar defense. Sources say: "He is very deft and always keeps his head - a great lawyer."

Amy Goodman is cochair of the firm's securities regulation and corporate governance practice and has many years of experience at the SEC including at the division of corporate finance. She is a noteworthy figure in the advisory space.

Significant clients Allergan, Corvex Management, J.P. Morgan Chase, UBS, PricewaterhouseCoopers.

Basic facts about the department
Key offices include New York and Boston.

What the team is known for A securities litigation practice with an enviable success rate in litigation on behalf of major financial institutions relating to the sales of RMBS. Also adept in litigation stemming from M&A transactions and cases alleging securities fraud.

Strengths (Quotes mainly from clients)

"It's a testament to Goodwin, the depth of the bench they have. They do a good job of collaborating across departments. They have a very good understanding of our industry and work collaboratively with our lawyers to handle our litigation."

"They had good in-depth knowledge of securities litigation and very strong partner teams."

Work highlights Defended J.P. Morgan Investment Management in a lawsuit alleging that the advisory fees that the client charged to three bond funds were excessive and in violation of Section 36(b) of the Investment Company Act of 1940.

Represented Intralinks Holdings and a number of its executives in class and derivative actions alleging breaches of fiduciary duty following a stock drop.

Notable practitioners  

Mark Holland is known for defending leading financial institutions and individual executives and officers in high stakes class and derivative litigation. Sources attest that Holland "provides very sound counsel with respect to significant securities litigation."

Brian Pastuszenski is an eminent figure in the Boston securities litigation market and continues to cultivate a formidable national reputation. He is particularly well regarded for his representation of Countrywide in RMBS litigation brought by the FHFA. 

Significant clients Bank of America/Countrywide Financial, Credit Suisse, Dun & Bradstreet Credibility, Canaccord Genuity, Citibank.

Basic facts about the department
Key offices include Wilmington and New York.

What the team is known for One of the best reputed plaintiff-side firms for both foreign and domestic securities litigation. Known for its prowess in securities class actions, opt-outs and individual cases.

Strengths (Quotes mainly from clients)

"They accomplish excellent results and do a tremendous amount for the Bar. They're active in commenting on things that might seem to limit investors' rights. They're superstars in Delaware."

Work highlights Continued to act for a number of institutional investors in a securities action against RBS in the High Court in London. The case concerned RBS's 2008 rights offering months before the bank's failure.

Worked with French counsel to represent European investors in an action against Vivendi and its former CEO and CFO in the commercial court in Paris. The claims alleged that Vivendi artificially inflated its share prices by fraudulently misstating its financial results.

Notable practitioners  

Jay Eisenhofer is known for undertaking a number of the most financially substantial cases for plaintiffs. Peers describe him as "a very solid lawyer, a shrewd businessman and a professional who has been doing this a long time. He's a very smart strategist."

Stuart Grant frequently represents major institutional investors and is praised by peers for his innovative approach. Market commentators describe Grant as "very tenacious and very experienced."

Basic facts about the department
Key offices include Denver, San Francisco and Washington, DC.

What the team is known for Respected regulatory compliance shop, offering a strong collection of former regulatory officers. Acts as counsel to public companies with respect to securities disclosure and corporate governance.

Strengths (Quotes mainly from clients)

"They are very responsive and are clearly experts in the area. The guidance that they give is measured and practical."

"They do a phenomenal job for what we pay them. I'm very happy. They're my main, go-to guys."

Work highlights Represented Walgreen in connection with shareholder proposals to be included in its proxy statement.

Notable practitioners  

Alan Dye is an eminent figure in the securities advisory space. Interviewees attest: "He's the dean of the Section 16 Bar. He's one of the shortlist that sophisticated clients would go to for that work and he's a pleasure to deal with."

Peter Romeo is a very strong attorney in the advisory sphere. Romeo's areas of expertise include insider trading and reporting provisions of federal securities laws. 

Significant clients General Dynamics, McDonald’s, News Corporation, Office Depot, Orbital Sciences.

Basic facts about the department
Key offices include Dallas, New York, Chicago and Washington, DC.

What the team is known for Broad experience in handling SEC and FINRA regulatory enforcement proceedings on behalf of clients such as public companies, broker dealers and investment companies. 

Strengths (Quotes mainly from clients)

"The reason I would recommend them is they're people-centric and service-centric. It's hard to find a firm that delivers a personal service on a timely basis like they do."

"Their advice is very practical, comprehensive and timely. They deal with everything quickly and efficiently."

Work highlights Continued to represent four major financial institutions in regulatory investigations concerning the sale of mortgage-backed securities as well as mortgage origination, foreclosure and servicing.

Acted as counsel to the Securities Working group and the Financial Services Roundtable, advising on a range of matters including Dodd-Frank and rule proposals.

Notable practitioners  

Michael Missal has noteworthy expertise in internal regulatory investigations and has built a strong reputation for representing clients before numerous regulatory agencies. Sources say: "He's a very good lawyer. He's very even and has a good reputation including a good reputation at the agency."

Stephen Crimmins has broad experience in the enforcement space and is noted for his representation of both individuals and public companies. He elicits strong praise from clients, one of whom attests: "He thinks with lightning speed and he's a very good communicator, not just with peers and superiors but with everyone down the chain."

Significant clients Wells Fargo, Bank of America, LPL Financial, Fifth Third Bancorp, Capital One.

Basic facts about the department
Key offices include Radnor, PA and San Francisco.

What the team is known for A plaintiff-side firm with a burgeoning reputation both nationally and internationally. Represents an enviable client base of institutional investors, funds and fund managers, investment advisers and insurance companies in substantial shareholder litigation.

Strengths (Quotes mainly from clients)

"Kessler is a force to be reckoned with. They may have the deepest bench of all of the plaintiff firms."

"They're very nice guys and have a very good overseas client base."

Notable practitioners  

David Kessler is a key contact at the firm.

Basic facts about the department
Key offices include New York and Washington, DC.

What the team is known for Offers noteworthy strength in the regulatory sphere, most notably with respect to enforcement matters. Known for defending individuals, private equity funds and hedge fund management firms.

Strengths (Quotes mainly from clients)

"I'm very pleased. There's nothing they could have done better. Their advice was sound."

Notable practitioners  

The highly respected Robert Khuzami recently joined the firm after serving as the SEC's head of enforcement. Sources describe him as "a smart and good lawyer."

Andrew Clubok is an up-and-coming litigator whose practice spans securities, tax and commercial disputes. Sources say: "Very impressive. He has a really good demeanor and people like working with him."

Basic facts about the department
Key offices include New York and Wilmington.

What the team is known for Highly effective team of plaintiff-side securities litigators with impressive pre-trial investigative capability integrated into the team. Known for a particular efficacy when it comes to disputes involving residential mortgage-backed securities.

Strengths (Quotes mainly from clients)

"A very professional firm. Ethical, hard working and solid."

Work highlights Acted as co-lead counsel for multiple Ohio-based retirement systems in an action against AIG alleging involvement in a market division scheme.

Represented the Pension Reserves Investment Management Board in a claim against pharmaceutical company Schering-Plough. The allegations concerned material misrepresentations of commercial viability of two of the defendant's products.

Notable practitioners  

Firm chairman Lawrence Sucharow has outstanding track record for the representation of plaintiffs in high-stakes securities litigation.

Thomas Dubbs is recognized for his representation of institutional investors in securities litigation. Sources name him "a terrific advocate."

Significant clients California State Teachers’ Retirement System, Commonwealth of Massachusetts Pension Reserves Investment Trust, Arkansas Teacher Retirement System, State-Boston Retirement Board, Connecticut Retirement Plans and Trust Funds.

Basic facts about the department
Key offices include New York, Chicago, San Francisco and Washington, DC.

What the team is known for Regularly acts on behalf of major accounting firms and financial institutions in a full range of securities litigation matters including class actions and auditor defense cases. Equally adept in regulatory enforcement actions and investigations.

Strengths (Quotes mainly from clients)

"I find them to be expert litigators: very creative and very knowledgeable when facing a tough problem."

"It was an excellent experience in terms of the quality of people they brought to the engagement. They had relevant, strong background knowledge."

Work highlights Represented the former chairman and CEO of sTec, Manouch Moyashedi, in an enforcement action brought by the SEC alleging insider trading and the provision of misleading statements in connection with the secondary offering of sTec stock.

Acted for the British Bankers Association in all US civil litigation related to the highly publicized LIBOR manipulation scandal.

Notable practitioners  

William Baker is noted for his representation of corporations and financial institutions in SEC enforcement actions. Peers say: "He is very well liked by the regulators. He knows the process very well and he is able to present his clients' interests in a very balanced way with the staff."

Securities litigator Miles Ruthberg represents major accounting firms in high-profile disputes brought by the SEC and in lawsuits such as auditor-defense disputes. "Miles brings a blend of intelligence, knowledge of the law, sophistication and humility which make him a formidable force in securities litigation. He has a great perspective," comments one interviewee. 

San Francisco-based Peter Wald is recognized for his representation of companies and auditing firms in cutting-edge securities litigations. Sources consider him "an extremely gifted cross-examiner" with "a high level of intellectual talent."

The "terrific" Lawrence West is recognized for defending corporations and individuals in sophisticated enforcement proceedings.

Significant clients Allergan, Bank of America Merrill Lynch, Barclays, Credit Suisse, Goldman Sachs. 

Basic facts about the department
Key offices include New York and Washington, DC.

What the team is known for Strong regulatory presence with expertise in both compliance and enforcement matters. Clients include financial institutions, broker-dealers, investment advisors and public companies.

Strengths (Quotes mainly from clients)

"I think they're extraordinarily capable. They look at things very technically and are able to decipher what's important."

"When I have a sensitive internal enquiry and want an external third party to deal with it, the partner I know there is the first person that comes to mind."

What's new? The firm recently hired much of the partnership of Bingham McCutchen, significantly increasing its capacity in the securities space.

Notable practitioners  

Linda Griggs is known for her expertise in advising accounting and auditing firms on fiduciary duties and corporate governance necessities. Sources say: "She's extremely bright and a real expert in law and accounting. She has good common sense."

Jeffrey Smith, a recent arrival from Bingham McCutchen, is experienced in representing a wide range of clients including financial institutions, funds, broker dealers and investors in securities litigation. He recently won a motion to dismiss claims against Credit Suisse regarding the restructuring of an SIV.

Ben Indek is known for defending broker dealers in enforcement matters brought by FINRA and the SEC. Sources describe him as "always prepared, measured and unflappable, even in difficult situations."

David Boch is a securities regulation enforcement attorney with particular expertise in the broker dealer space. Boch frequently represents clients in SEC and FINRA investigations.

Timothy Burke represents broker dealers and investment advisors in regulatory enforcement proceedings. Sources name him "a very good lawyer."

Anne Flannery is noted for her representation of clients in a broad range of enforcement matters, including allegations of securities fraud and sales practice violations.

Enforcement defense attorney Christian Mixter is frequently engaged by investment advisers, broker-dealers and public companies for matters such as allegations of accounting fraud and insider trading.

Significant clients Bank of America, JP Morgan Chase, Deutsche Bank, UBS Securities, Guggenheim Partners. 

Basic facts about the department
Key offices include New York, San Francisco and Washington, DC.

What the team is known for Formidable West Coast presence with a strong reputation for a range of securities litigation matters including shareholder class actions and M&A litigation.

Strengths (Quotes mainly from clients)

"They have done an outstanding job in handling a large matter with multiple elements."

Work highlights Represented BlackBerry and two of its former officers in class actions relating to statements concerning the launch of the BlackBerry 10 device and the related accounting for revenue and inventory.

Won a summary judgment for the former directors of Mentor in a shareholder class action stemming from the company's acquisition of Johnson & Johnson.

Notable practitioners  

Martin Dunn is a hugely respected individual in the advisory space, routinely counseling large corporations on compliance matters. Source comment on Dunn's ability to "give great insight into what the rules are and what they mean."

David Lynn is also noted for his prominence in the securities regulation advisory space. "He is not only creative but is also an excellent technical lawyer," reports one interviewee.

Jordan Eth is a leading light in the California securities litigation market and is well versed in class actions, derivative suits and transactional disputes. Eth is "very smart and knows the law really well," say sources.

Significant clients Yahoo!, Cirrus Logic, Argus Group Holdings, Ernst & Young, First Bank. 

Basic facts about the department
Key office is Los Angeles.

What the team is known for A respected California-based securities litigation outfit with capability in securities class actions, shareholder derivative claims and M&A litigation. Particularly noted for high-profile work stemming from the financial crisis.

Strengths (Quotes mainly from clients)

"They are just really good. They are smart, highly trained and have a way of bringing fresh, younger faces on quickly. I have an extremely high regard for them as a firm."

Work highlights Defended Bank of America and Merrill Lynch in a securities fraud suit brought by AIG and various subsidiaries relating to the sale of $10 billion of mortgage-backed securities. The case was settled for $650 million.

Represented Wells Fargo in a bellwether case in Minnesota brought by a group of pension funds for retired nuns, firefighters and healthcare workers. The case concerned allegations that the bank had misrepresented its investment strategy.

Notable practitioners  

John Spiegel is a highly regarded litigator in California, handling high-profile securities litigation as part of a broader commercial litigation practice. Sources describe him as "just spectacular across the board."

Significant clients Causeway Capital Management, Corinthian Colleges, Edison International, MGM Resorts International, Western Asset Management.

Basic facts about the department
Key offices include Los Angeles and Washington, DC.

What the team is known for Solid presence in both securities litigation and regulation spaces. Demonstrates particular expertise in the advisory sphere counseling a range of clients from Fortune 500 companies to funds and holding companies on all compliance and corporate governance needs.

Work highlights Continued to defend Bank of America in the large-scale Countrywide litigation relating to sales of RMBS.

Advised large corporate clients and individuals in various compliance matters including disclosure, implementation of Dodd-Frank, FINRA requirements and fiduciary duty obligations.

Notable practitioners  

Seth Aronson is a securities litigator noted for his representation of individuals and foreign companies listed in the USA. Areas of expertise include shareholder derivative actions and securities class actions.

Securities litigator Jeffrey Kilduff is the managing partner of the firm's DC office, where he is a leading presence in securities litigation. Kilduff regularly defends companies in class actions and derivative litigation.

Rob Plesnarski is a standout figure in the regulatory advisory space. He is praised by sources for his knowledgeable advice. 

Significant clients Fannie Mae, Watson Pharmaceuticals, Giant Interactive Group.

Basic facts about the department
Key office is San Francisco.

What the team is known for Significant securities litigation offering with solid California-based expertise in high-exposure cases. Acts on behalf of a range of clients including major public companies, private companies, individuals and accounting firms.

Strengths (Quotes mainly from clients)

"Their securities litigation practice is top notch. They are responsive, smart and efficient."

"I think they're excellent lawyers. I have been impressed with the Orrick folks and I give what they say a lot of weight."

Work highlights Continued to successfully represent Chesapeake Energy, as well as its officers and directors and former CEO, in a string of claims. Achieved dismissal of a class action as well as dismissals of numerous shareholder derivative suits.

Defended David Sambol, the former president of Countrywide, against a series of investor lawsuits and regulatory investigations, including a derivative action seeking penalties following the successful prosecution of the bank under the Financial Institutions Reform, Recovery, and Enforcement Act of 1989 (FIRREA) statute.

Notable practitioners  

James Kramer is a key contact at the firm.

Significant clients NVIDIA, SemiLEDS, Ernst & Young, Bank of America, 23andME.

Basic facts about the department
Key offices include New York and Washington, DC.

What the team is known for A formidable team of specialist litigators with a truly exceptional reputation in a variety of bet-the-company cases for leading financial institutions. Highly esteemed in regulatory enforcement matters, frequently called on to defend against substantial punitive measures brought by the SEC and other agencies.

Strengths (Quotes mainly from clients)

"They have an unparalleled ability to take on complex litigation. They're an intellectual powerhouse and very strategic. The very large and complex matters they handle for us are among the most significant we have."

"I have a very high opinion of them. I think that's a very good firm with many great qualities, their level of commitment, their full immersion in the case and the merging of the legal and practical application."

"They've been in lots of intensive litigation and I think they're very good, one of the top firms. They've got good bandwidth and depth."

Work highlights Successful defended Citigroup achieving the dismissal of a putative class action brought by purchasers of 26 euro note offerings concerning $9 billion of damages.

Represented Bank of America in a securities class action law suit defending against allegations that the client and its directors and officers made misstatements and omissions in the proxy statement used to solicit approval for the bank's merger with Merrill Lynch from the shareholders.

Notable practitioners  

Managing partner Brad Karp enjoys a truly outstanding reputation as a securities litigator, routinely handling the most cutting edge of matters for systemically important financial institutions, and has a burgeoning reputation in the regulatory enforcement space. Sources say: "He is phenomenally responsive and very high quality. He's extremely well-tuned to all sorts of things and a great source for discussion."

Richard Rosen, cochair of the securities litigation and enforcement group, is a highly respected securities litigator at the forefront of the market. Peers say: "He's incredibly knowledgeable about securities litigation and the law. He has a professorial manner which can be very effective. As far as analyzing issues he's at the top of his game."

Daniel Kramer has a sparkling reputation in the securities litigation space. Clients note him to be a "very talented lawyer and a top-notch litigator, as well as a brilliant strategist."

Walter Ricciardi is a former deputy director of the SEC's division of enforcement who handles a wide variety of enforcement actions brought by the SEC and other regulators on behalf of major international financial institutions. Peers regard him as "terrific," and "a very good lawyer."

Charles Davidow is a notable litigator who is highly regarded for both his expertise in enforcement defense and private securities litigation and arbitration. Sources describe him as "a smart, capable, very intelligent lawyer."

Significant clients AIG, J.P. Morgan Chase, Bank of New York, Pfizer, Deloitte & Touche.

Basic facts about the department
Key offices include Los Angeles, New York and Chicago.

What the team is known for A top team of plaintiff-side securities litigators known for some stunning victories in recent years, particularly in the wake of the financial crisis and the numerous disputed sales of RMBS. Capable of taking on leading investment banks and renowned firms from the defendant Bar.

Strengths (Quotes mainly from clients)

"They are very well respected and talented."

Work highlights Acted for the Federal Housing Finance Agency on behalf of Fannie Mae and Freddie Mac in the high-profile series of cases against leading financial institutions relating to billions of dollars worth of RMBS purchases.

Acted for Massachusetts Mutual Life Insurance in a series of thirteen actions seeking to rescind purchases of RMBS by alleging misrepresentation of the loan collateral in the offering materials.

Notable practitioners 

The "very talented and smart" Philippe Selendy has carved an impressive reputation for achieving favorable settlements in high-profile securities litigation. One opponent in the defense Bar says: "I think he is one of the best securities plaintiff lawyers in the country."

Significant clients AIG, The Prudential Insurance Company of America, Allstate Insurance, Salix, City of Philadelphia.

Basic facts about the department
Key offices include New York and Washington,DC.

What the team is known for Reliable regulatory enforcement team with a strong track record for guiding officers and senior executives of major financial organizations through delicate investigations. Also represent a host of other clients including financial institutions, broker-dealers and individual investors.

Strengths (Quotes mainly from clients)

"Richards Kibbe is excellent."

Notable practitioners  

Michael Mann is known for his expertise in regulatory enforcement matters and frequently represents major financial institutions before the SEC. Sources say: "He's very good, especially on international matters. He does a lot of enforcement work and straight litigation and is really very good."

Lee Richards is a prominent attorney in the white-collar and securities enforcement space. He is adept at representing clients through proceedings before the DOJ, SEC and FINRA.

Basic facts about the department
Key offices include San Diego and New York.

What the team is known for Applauded for its enviable bench strength and geographical reach. Frequently represents investors in complex securities litigation such as recovery class actions.

Notable practitioners  

Litigator Samuel Rudman is a founding member of the firm and is deeply experienced in the securities space, routinely leading class actions on behalf of shareholders. Peers describe him as "a first-class litigator."

Darren Robbins is a prominent figure in the field of securities litigation in California. He regularly acts as lead counsel on behalf of shareholders in recovery actions.

Basic facts about the department
Key offices include New York and Boston.

What the team is known for Strong securities litigation practice known for representing large public companies in securities fraud class actions, shareholder activism and M&A litigation.

Strengths (Quotes mainly from clients)

"They're very smart and technically skilled at what they do. They're incredibly business-savvy and understand the consequences of their advice. They apply judgment to their advice and know how it will impact the business.

Work highlights Successfully acted for BioMimetic Therapeutics at appellate level, affirming an earlier victory in district court in a case concerning the client's drop in stock following negative commentary from the FDA regarding a new drug product.

Defended Columbia Laboratories against claims brought by its shareholders concerning fraud allegations in connection to the clinical study supporting an application to the FDA for a new drug.

Notable practitioners  

Securities litigator John Donovan is praised for his ability to organize and run complex cases. Clients say: "He's a very smart litigator with good, solid presentation skills."

Randall Bodner handles a wide range of securities and M&A litigation. Sources describe Bodner as "a very tenacious advocate."

Significant clients Keurig Green Mountain, Genzyme Corporation, Goldman Sachs, Avid Technology, Abiomed.

Basic facts about the department
Key offices include New York and Washington, DC.

What the team is known for Respected handling of securities class actions and shareholder derivative litigation relating to sales of MBS and CDOs. Also noted for its presence in the regulatory space, with expertise in the representation of individuals, corporations and financial institutions in enforcement and advisory matters.

Work highlights Continued to represent Countrywide Financial in the highly publicized litigations concerning its sale of RMBS prior to the financial crisis.

Acted for Todd Newman, a former fund manager for Diamondback Capital Management, in defense of high-profile parallel insider trading cases brought by the SEC and the DOJ. 

Notable practitioners  

Adam Hakki is global head of the firm's litigation group and is recognized for his handling of high-profile securities class actions and shareholder derivatives suits. Interviewees describe him as "smart, disciplined and easy to work with."

Stuart Baskin has notable expertise in securities litigation and M&A litigation. Sources attest to his "solid command of the law and formidable intellect."

Significant clients Galleon Management, Bank of America, Barclays Capital, Mizuho, Independent Directors of J.P. Morgan Chase.

Basic facts about the department
Key offices include New York and Washington, DC.

What the team is known for Highly respected in the securities regulation space, with market-leading practitioners in enforcement defense and a strong advisory capability. Demonstrates particular strength in defending broker dealers against the SEC or FINRA. Solid litigation offering active in shareholder litigation and high-frequency trading litigation. 

Strengths (Quotes mainly from clients)

"They added such value and watched over our team. I was impressed with their thoughtfulness, technical skill and respect. They were really quite impressive."

"They've got a very strong market regulation practice with trading and markets expertise. I view them as multidisciplinary and strong."

Work highlights Represented Morgan Stanley in an SEC investigation into RMBS transactions prior to the financial crisis. The team successfully achieved settlement of the matter for its client.

Defended Bank of America in a class action brought against it by institutional investors alleging violations of the Trust Indenture Act and breaches of contract relating to an offering of RMBS that the client had acted as trustee for.

Notable practitioners  

Herbert Janick is a highly respected figure in the securities enforcement space. One market observer comments: "He is a bit of a legend in the enforcement Bar. He is remarkably intelligent and he absorbs information very quickly. For delicate or important cases he's someone I have a lot of confidence in. He gives reasoned, rounded answers."

Neal Sullivan is known for his experience defending broker dealers and investment advisers in enforcement actions brought by regulatory bodies. Sources say: "He's very good in the room with the regulators and with the government. I have great confidence in his ability to communicate on our behalf. He brings a lot of experience and judgment."

Thomas Kim joined the firm in 2013 after serving as chief counsel and associate director of the SEC's division of corporate finance. He bolsters the firm's advisory capability, frequently counseling clients on a broad range of compliance issues.

Regulatory enforcement specialist Barry Rashkover's broad client roster includes broker dealers and investment advisers. Citing his background serving in senior positions at the SEC, sources say: "He knows what he's doing and he's good technically."

Nader Salehi is noted for his representation of broker dealers, hedge funds and public companies in regulatory enforcement actions. Clients describe him as "very practical and an insightful counselor in difficult situations."

Michael Wolk is known in the enforcement space for his particular expertise in matters concerning equity, fixed-income trading and sales practice. Sources describe him as "very good on technical broker-dealer issues."

Significant clients Barclays, Jefferies, J.P. Morgan Chase, Raymond James, KPMG.

Basic facts about the department
Key offices include New York and Washington, DC.

What the team is known for A market-leading securities litigation practice known for handling highly-publicized disputes in defense of major financial institutions and international corporations. Impressive bench is notably well-versed in complex securities class actions.

Strengths (Quotes mainly from clients)

"Simpson Thacher has been appearing in many different cases. They're a solid shop and strategically sensible and smart."

Work highlights Represented RBS in two actions brought by the Federal Housing Finance Agency on behalf of Fannie Mae and Freddie Mac. The team defended its client against allegations of material misstatements and omissions in the offering documents for certain RMBS purchased by the plaintiff.

Successfully defended Twitter, achieving the dismissal of $124 million suit alleging that the client had engineered a failed private sale before its IPO.

Notable practitioners  

Jonathan Youngwood frequently represents market-leading financial institutions and corporate multinationals in complex commercial litigation. "He's very bright, hard-working and very smart," notes one client. "He thinks through lots of different issues. He's just a very good strategic thinker and very strong on his feet."

Paul Curnin's practice straddles the areas of securities litigation and white-collar criminal defense. Peers describe him as "among Simpson Thacher's best - he has experience, reputation, perspective and humility."

Peter Bresnan is the former deputy director of the SEC's enforcement division and can draw on his experience when representing financial institutions and individuals in investigations and enforcement actions brought by the regulators. Clients report: "He has very good technical expertise but also has a very good manner about him. He's respected and has his opinion heard at the agency."

Significant clients AIG, The Blackstone Group, Deutsche Bank, Fairfield Greenwich Group, J.P. Morgan Chase.

Basic facts about the department
Key offices include New York, Los Angeles and Washington, DC.

What the team is known for Outstanding litigation offering as part of the firm's global network. Possesses a bench of high-performing attorneys frequently engaged for high stakes litigation by an enviable roster of some of the finest financial institutions. Also possesses a highly impressive group of regulatory attorneys with integrated advisory and enforcement capabilities.

Strengths (Quotes mainly from clients)

"They provide very high-quality legal work. They have a very strong understanding of the business and consistent quality throughout their associate team."

"They're very responsive and always give practical and great legal advice. They're excellent in governance proxy statements and in the SEC regulatory space. They've always been a great partner and work hand in hand with us."

"They're great. They're really responsive, smart and creative. They're all the things you want lawyers to be."

"Skadden just keeps getting better. You cannot deny how successful they are in diversified areas and diversified geographies."

Work highlights Defended RBS in class actions concerning allegations of wrongful conduct in connection with the setting of the ISDAFIX benchmark rate.

Represented Bank of America and various affiliates in a series of investigations brought by the RMBS Working Group task force working alongside the DOJ, SEC and six state attorneys general.

Achieved a favorable settlement for BlackRock in negotiations with the SEC concerning allegations of short selling before its second public offering.

Notable practitioners  

Jay Kasner leads the firm's national securities litigation practice and is one of the most highly regarded securities litigators in the country for his command of the courtroom. Sources describe him as "one of the best minds on securities litigation" and attest that "he has an excellent command of the law and his creative thinking is second to none."

Brian Breheny is an increasingly dominant figure in the securities regulation advisory space. Clients describe him as "a pleasure to deal with. He combines a breadth of legal knowledge and federal securities regulations with what actually happens in practice. He's also very connected and helps us get to solutions."

Colleen Mahoney is eminent in the enforcement space having spent 15 years at the SEC rising to the position of deputy director of the division of enforcement. Sources say: "She's easy to work with, creative and committed to her clients."

Litigator Scott Musoff recently represented FMR and Fidelity Brokerage Services in a securities class action concerning high frequency trading activity. Market observers regard Musoff as "an excellent lawyer." 

According to commentators, David Zornow is "a leader in the white-collar crime defense Bar," and is noted for being a go-to person for individuals under scrutiny from the government regarding insider trading. This expertise extends into regulatory investigations making him stand out in the enforcement space.

Erich Schwartz is noted for his expertise in regulatory enforcement having served as the assistant director of the SEC's enforcement division. Sources describe him as "a very thoughtful lawyer" and note that "he respects the work and wants to do the best work he can."

Susan Saltzstein is a securities litigator who enters the rankings for the first time after receiving warm market praise. Interviewees describe her as "very smart, focused, really dedicated and motivated. She's 100 per cent thinking about what's in the best interests of you as a client and the case."

Senior statesman Jonathan Lerner is described by peers as "an absolutely top-quality guy." His experience straddles securities litigation, commercial litigation and arbitration.

Significant clients J.P. Morgan Chase, Pfizer, Chevron, UniCredit, CarMax.

Basic facts about the department
Key offices include New York and Washington, DC.

What the team is known for Highly distinguished in the realm of securities litigation with an impressive bench of attorneys who handle some of the most highly publicized cases in the market. Couples a strong securities regulatory enforcement offering with particular expertise in matters affecting clients in the banking sector.

Strengths (Quotes mainly from clients)

"They're just superb, in a word. On everything I've worked on with them I've been nothing but impressed. They think five steps ahead. They're not only brilliant legally, they're also terrific strategically."

"Their securities group is very strong and they appear for many different entities. They're specialists on the securities side and I do regard them as having an excellent reputation in defense."

Work highlights Achieved dismissal of several shareholder derivative actions brought against J.P. Morgan Chase, its CEO and other senior officers relating to the 'London Whale' trading losses.

Represented Barclays in high-profile litigation stemming from the international investigations relating to the manipulation of LIBOR.

Notable practitioners  

Robert Giuffra is one of the country's most highly respected securities litigators and known for his activity in precedent setting cases. Sources say: "I think he's very effective and has been in a lot of key matters. He wins in tough matters and he's not afraid to try a case."

The "very creative and extremely sharp" Robert Sacks is one of California's leading securities litigators and manages the firm's Los Angeles office. "He uses his experience very well. He knows the ins and outs of these issues and it shows," notes one market observer. 

Sharon Nelles is a "no-nonsense, pragmatic litigator" who is "always prepared and always handles any kind of pressure." Nelles handles sophisticated securities litigations as part of a broader civil and criminal litigation practice.

Gandolfo DiBlasi is a senior figure in the securities litigation Bar. DiBlasi has vast experience representing leading financial institutions and has acted in some of the most highly publicized cases that occurred over his long career.

Richard Klapper is a highly regarded securities litigator in New York. He recently represented Goldman Sachs in the high-profile RMBS litigation, reaching a favorable settlement in an action brought by the Federal Housing Finance Agency (FHFA) in its role as conservator for Fannie Mae and Freddie Mac.

Significant clients Goldman Sachs, UBS, Porsche, Standard Chartered Bank, Moody’s.

Basic facts about the department
Key office is New York.

What the team is known for Draws on its immense quality in the M&A field to undertake the full spectrum of transactional litigation. Sustains its prestigious reputation defending corporates and multinationals.

Strengths (Quotes mainly from clients)

"They've got a world class M&A practice both on the transactional and litigation side when transactions get challenged."

"For major M&A litigation, Wachtell are great."

Notable practitioners  

Theodore Mirvis is highlighted for his corporate defense expertise and experience in high-stakes M&A litigation. Clients praise him as "one of the smartest strategic thinking lawyers I've ever met. He's resourceful and truly thinks outside the box. A really bright litigator."

Paul Vizcarrondo is known for his expertise in complex securities litigation which he couples with strength in the white-collar and securities regulatory enforcement spaces.

William Savitt is described by clients as "just really one of the best." He is highlighted for his expertise in shareholder litigation and defending corporates against allegations of breach of fiduciary duty. Peers report: "He is super-smart, incredibly energetic and a formidable adversary. He's also great to have on your side because he's super strategic."

George Conway is a securities litigator who is recognized by market observers for an impressively academic approach. Sources attest to his "extensive practice in this space."

Basic facts about the department
Key offices include New York and Washington, DC.

What the team is known for Impressive securities litigation offering known for handling cases for some of the most distinguished financial institutions in disputes stemming from the financial crisis. Handles a wide range of shareholder M&A and securities fraud cases.

Strengths (Quotes mainly from clients)

"I've been impressed with the service levels and the level of knowledge and expertise in the securities and derivative litigation areas."

Work highlights Continued to act as nationwide lead counsel for AIG in shareholder and derivative cases arising from its subprime losses and federal bail out.

Represented Sanofi and its subsidiary Genzyme, as well as a number of senior executives, in a variety of federal class and individual actions brought by holders of rights issued in connection with Sanofi's acquisition of Genzyme. 

Notable practitioners  

Joseph Allerhand co-leads the firm's securities litigation practice and is noted for his expertise in shareholder class actions and M&A litigation. Sources describe him as "quick-witted, insightful and sharp as a razor."

Head of the public company advisory group Ellen Odoner is known in the regulatory advisory space for counseling public companies and foreign private issuers on corporate governance and SEC disclosure issues.

Jonathan Polkes is known for his representation of leading financial institutions in litigation stemming from the financial crisis. Interviewees note his "incredible presence in the courtroom."

Significant clients AIG, General Electric, Gentiva Health Services, lululemon athletica, Kinder Morgan.

Basic facts about the department
Key office is Washington, DC.

What the team is known for Established presence in the securities litigation space, representing individuals, major financial institutions, accounting firms and stock exchanges.

Strengths (Quotes mainly from clients)

"They are, from top to bottom, very smart people. They're all well trained and very bright lawyers. They're incredibly thorough, their attention to detail is exceptional and they're deliberate and creative."

"They're an exceptional team. If a multiheaded piece of litigation arises, they have well qualified people who are well up to speed to handle whatever is needed."

Work highlights Successfully represented Ernst & Young in an arbitration stemming from a multibillion-dollar fraud at HealthSouth. The company brought an action against the firm's client, its auditor, alleging malpractice and other claims.

Defended The Carlyle Group in a series of class actions brought by investors alleging that disclosure statements made by the defendant were misleading.

Notable practitioners  

Kevin Downey is known for representing CEOs and senior executives of major corporates in high-stakes litigation. Sources describe him as "a very solid, disciplined lawyer. He thinks things through before jumping in."

The respected John Villa handles securities litigation as part of a broader corporate and financial services litigation practice. According to sources, Villa is "a very capable trial lawyer who also knows how to settle a case."

Significant clients Pfizer, Bank of America, New York Stock Exchange, The NASDAQ Stock Market, FBR Capital Markets.

Basic facts about the department
Key offices include New York and Washington, DC.

What the team is known for Durable securities practice illustrating strength in both the litigation and regulatory spheres. Integrated team, known for tackling a diverse cross-section of cases including shareholder disputes, M&A litigation, SEC and DOJ investigations and FCPA violations.

Strengths (Quotes mainly from clients)

"It was a thorny business endeavor fraught with political difficulty. They did a really good job of navigating a tense situation."

Work highlights Won a landmark victory in the Delaware Supreme Court, affirming a previous victory in the Delaware Chancery Court on behalf of the special committee of M&F Worldwide relating to a going-private transaction.

Continued to represent SAC Capital investors in insider-trading investigations brought by the SEC and DOJ. 

Notable practitioners  

Michael Young chairs the firm's securities litigation and enforcement practice and is best known for his defense of accounting firms and audit committees. Sources say: "Mike Young is excellent. He's very knowledgeable and well respected."

Elizabeth Gray is known for representing a broad range of clients in regulatory enforcement proceedings including investment advisers, broker dealers and accounting firms.

Tariq Mundiya is regarded as a rising star of the securities litigation Bar. Sources describe him as "a very solid securities lawyer."

Significant clients KPMG, Facebook, Third Point, General Electric, AIG.

Basic facts about the department
Key offices include New York, Los Angeles and Washington, DC.

What the team is known for A standout performer in the regulatory sphere with impressive depths of quality on both the advisory and enforcement sides. Maintains a solid offering in securities class actions and shareholder derivative litigation.

Strengths (Quotes mainly from clients)

"They were brilliant. They're Ivy League educated but also street smart - some of the most brilliant communicators I've come across."

"They start with understanding how our organization works, I find that very useful. They obviously are extremely knowledgeable in the field and have some highly respectable people. They're very responsive."

Work highlights Represented the liquidating trustee of Getty Petroleum seeking damages from its former parent company and corporate affiliates. The matter was settled favorably for $93 million.

Defended Latour Trading in an SEC investigation concerning allegations of miscalculating its net capital to inflate the broker's net capital. A settlement of $16 million was reached with no admission of wrongdoing.

Notable practitioners  

William McLucas is a dean of the enforcement space whom peers unanimously agree deserves his stellar reputation. Sources highlight his "extraordinary judgment" and attest that he is "a cut above everyone else."

Harry Weiss is a prominent figure in the enforcement sphere, with interviewees describing him as "a thought leader of the practice." Weiss represents financial institutions and corporate clients in the full range of securities investigations and enforcement matters.

Meredith Cross recently rejoined the firm after serving as the director of the division of corporate finance at the SEC and has since cultivated an exemplary reputation in the regulatory advisory space. Peers say: "She's excellent, there's no doubt about it. She's very smart and has lots of experience."

Douglas Davison is known for representing clients in enforcement actions and investigations by the SEC. He is also well versed in representing individuals and knows the regulators well having appeared in matters involving the DOJ, the Federal Reserve, the OCC and the CFTC.

Christopher Davies thoroughly impresses clients who report: "He obviously knows the firm very well and he's very responsive and knowledgeable. He's a good adviser and a good sounding board." He is highlighted for his government investigations expertise on behalf of market-leading financial institutions and accounting firms.

Significant clients Eagle Bulk Shipping, AVEO Pharmaceuticals.

Other Ranked Lawyers 其他上榜律师

Barbara Stettner of Allen & Overy LLP is recognized for her presence in the advisory space. Clients say: "She has such strong communication skills and abilities, and she's able to match up her knowledge of securities regulation with the client's needs."

Stanley Bernstein of Bernstein Liebhard LLP is recognized for his expertise representing plaintiffs in securities litigation. Peers describe him as "an excellent litigator" and a "smart guy."

Gregory Bruch of Bruch Hanna LLP is a seasoned and highly regarded figure in the regulatory enforcement space. Clients report: "Greg is a remarkably level-headed, calm, no-drama kind of guy. He's immensely supportive, thoughtful and patient."

Sandra Hanna of Bruch Hanna LLP is a rising star of the enforcement space. Clients say: "She's calm and tough as nails on your behalf."

Litigator Gregory Markel of Cadwalader, Wickersham & Taft LLP is well versed in a range of securities matters including corporate governance litigation and M&A disputes. He recently defended Morgan Stanley in a class action relating to the alleged manipulation of oil benchmark prices.

Regulatory enforcement attorney Samuel Winer of Foley & Lardner LLP is known for his representation of audit firms, public companies and individuals in investigations brought by the SEC or PCAOB. Peers call him "a terrific lawyer. Not only does he have the ability to connect with people but he really understands the securities market. He knows what he's talking about and he can break things down in a way that others really understand."

Karl Groskaufmanis of Fried, Frank, Harris, Shriver & Jacobson LLP is a respected figure in the securities advisory field. Market observers regard him as "a solid guy, a solid player. He knows his way around issues and has been doing this for a long time."

Kathy Patrick of Gibbs & Bruns LLP is a respected Texas-based litigator who handles securities disputes as part of a broader commercial litigation practice. Peers describe her as "a very good lawyer and very tough in service of her clients."

Securities litigator William Maguire of Hughes Hubbard & Reed LLP is "a terrific trial lawyer and a great strategist," say sources. "He's very adept in a hearing or a court room. He's a persuasive advocate and deeply understands our business," notes one impressed client. 

David Siegel of Irell & Manella is highly regarded securities litigator who routinely defends corporations and their officers in class actions and investor claims. "He is obviously fantastic and really effective and persuasive," say sources. 

Thomas Newkirk of Jenner & Block LLP is known for his expertise in defending entities in regulatory investigations and enforcement actions relating to accounting, disclosure, insider trading and FCPA violation.

William Tolbert is cochair of the securities practice at Jenner & Block LLP and is a recognized force in the securities regulatory advisory space. Interviewees name him "a fantastic lawyer" and "a great confidant and adviser."

Peter Romatowski of Jones Day is renowned in a variety of inter-related areas including white-collar defense, FCPA cases and securities regulatory enforcement. Sources attest to Romatowski's "extraordinary" talents.

The "very effective" Dixie Johnson leads the securities enforcement and regulation group at King & Spalding LLP. She is noted for her representation of public companies and financial institutions in SEC enforcement actions.

Carmen Lawrence of King & Spalding LLP is experienced in defending public and private companies in enforcement actions and helping clients navigate through internal investigations.

Fredric Firestone leads the SEC defense group at McDermott Will & Emery LLP and is highlighted for defending corporations, banks and individuals in enforcement proceedings brought by the SEC and other agencies. Peers describe him as "really very talented, knowledgeable, calm and confident and a pleasure to work with."

James Benedict of Milbank, Tweed, Hadley & McCloy LLP is a venerable figure in the securities litigation Bar, and is highly experienced in class actions and derivative suits at state and federal level.

Scott Edelman is the chairman of Milbank, Tweed, Hadley & McCloy LLP and is a noteworthy figure in the securities litigation sphere. He routinely represents corporate clients and boards of directors in defense of allegations of securities-related crimes.

Richard Morvillo of MORVILLO LLP is a former branch chief of the SEC's division of enforcement and is adept at guiding clients through regulatory investigations. Sources describe him as "a terrific lawyer with a lot of experience. He's been around the block and has a smart approach to what he's doing."

Richard Weinberg of Morvillo Abramowitz Grand Iason & Anello P.C. is highly regarded for representing individuals in enforcement proceedings. "He's very effective and very good at calming individuals and making them feel cared for," notes one observer. 

Ralph Ferrara of Proskauer Rose LLP is known for representing corporate clients, officers and boards in regulatory enforcement cases. Clients name him "an excellent strategist and analyst who is sensitive to and knowledgeable about the issues that confront global companies."

The California-based Boris Feldman of Wilson Sonsini Goodrich & Rosati is a respected securities litigator. Sources attest: "He's tremendous. He's creative and so knowledgeable on the law. He can think outside the box but at the same time he's efficient and a wonderful adviser."

Foreign Experts

Foreign Experts are individuals with expertise in a different jurisdiction to the one they are based in. These individuals are particularly highly regarded for international and cross-border work. Usually, they will be identified in the jurisdiction in which they are based and in their country of expertise.

Senior Statesman

A 'Senior Statesman' is a lawyer who no longer works hands-on with the same intensity but who, by virtue of close links with major clients, remains pivotal to the firm’s success.

Eminent Practitioners

'Eminent Practitioners' are highly influential lawyers in a particular practice area who, due to managerial or client relationship commitments, are less active in day-to-day work but remain key players in the team.

Other Noted Practitioners

Other Noted Practitioners are individuals who have not yet been ranked but are seen to be active and accomplished in this area of law.

Other Noted Firms

Other Noted Firms are firms that have not yet been ranked but are seen to be active and accomplished in this area of law.