Munsch Hardt’s Securities Litigation + Governmental Investigations practice group represents clients across the country at every stage, including informal inquiries, pre-litigation counseling, high-stakes civil disputes, enforcement actions and internal investigations arising under federal and state securities laws. We advise investors, companies, financial institutions, investment firms, broker-dealers, registered investment advisers, corporate officers and directors, and special committees in matters involving significant legal, regulatory, reputational and business risk.
We routinely represent clients in complex disputes, such as securities class actions, shareholder derivative suits, post-merger litigation and other matters involving alleged misrepresentations, fraud, suitability, accounting irregularities and breaches of corporate governance obligations, and breaches of fiduciary duties. In parallel, we regularly advise and defend clients in investigations and enforcement proceedings brought by regulators, including the Securities and Exchange Commission (SEC), the Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA) and state securities regulators and attorneys general. Our experience includes:
- Pre-litigation risk assessments, mitigation and regulatory counseling related to securities offerings, earnings disclosures and other corporate transactions
- Internal investigations conducted on behalf of boards, audit committees and special committees in response to whistleblower complaints, regulatory inquiries and accounting concerns
- Defense of SEC and FINRA enforcement actions, including matters involving disclosure, supervision, market conduct and compliance
- Representing broker-dealers, investment advisers and financial professionals in examinations, enforcement proceedings and arbitration
- Representing companies (both buyers and sellers) and their officers and financial advisors in litigation arising from mergers, acquisitions and other strategic transactions
- Representing officers and directors in breach of fiduciary duty and fraudulent transfer lawsuits in bankruptcy proceedings
- Advising individuals and entities in connection with parallel civil, regulatory and criminal proceedings
Clients turn to us for sophisticated, coordinated strategies that align legal risk management with business objectives. Whether prosecuting claims on behalf of investors, defending regulated entities, or managing sensitive internal investigations, we are trusted advisors in matters where securities law, regulatory risk and business judgment intersect.