Stroock’s litigators have extensive experience in representing all types of clients in cases arising under the federal securities laws, and in representing securities trading firms in virtually every type of dispute they encounter.  Our representation of securities firms runs the full range from prosecuting claims arising out of trade disputes to defending anti-fraud actions.  We handle cases for our securities industry clients involving instruments that range from straightforward equity securities to complex equity and fixed income derivatives. 

In addition to representing market professionals, we represent issuers, their boards of directors and financial advisors in litigations growing out of stock issuances, mergers and acquisitions, recapitalizations, control contests and other financial transactions.  We defend issuers, their officers and directors and underwriters against shareholder claims arising from their disclosures in connection with their transactions and corporate developments, and have developed a particular expertise in litigation involving the responsibilities of investment companies and their boards of directors and investment advisers in matters related to portfolio issues, management fees, transactions with affiliates and transfers of ownership.

We regularly represent our clients in the securities markets in individual, derivative, and class actions in state and federal courts, in arbitrations, in investigations, and in enforcement proceedings before the Securities and Exchange Commission, the United States Department of Justice, the New York and American Stock Exchanges, the Chicago Board of Options Exchange, the National Association of Securities Dealers, the International Chamber of Commerce and the American Arbitration Association.  Our lawyers who practice in these areas have active trial practices and have tried jury and non-jury cases in state and federal courts throughout the United States, and have appeared in dozens of other courts in which cases were successfully resolved before trial.

Although we are experienced and have a successful track record in trying cases to verdict, our objective in each case is to obtain the best result for our clients.  Success often means the exercise of sound judgment in avoiding litigation.  Clients frequently call on us for our advice and counsel in addressing problems well in advance of any threat, or possibility, of litigation.  Together with our corporate colleagues, we provide counseling that takes into account litigation contingencies to develop the best strategy to meet the evolving challenges of transactions in sophisticated securities matters.