Securities Litigation

Zelle Hofmann lawyers have broad experience in litigation matters arising out of the securities laws.  We represent clients in matters ranging from class actions brought by private plaintiffs to enforcement actions brought by the Securities and Exchange Commission.  We have extensive experience representing issuers, underwriters, accounting firms, financial institutions, securities firms, officers, directors, broker/dealers and outside professionals, including attorneys, accountants, and financial advisors.  We regularly represent clients in state and federal court litigation, regulatory and investigative proceedings, and arbitrations throughout the country.  Over the years we have achieved significant success for our clients through early dismissals of actions and summary judgments.  We have also successfully tried numerous cases and arbitrations.  Because our attorneys are skilled trial lawyers and prepare each case with an eye toward presenting the case before a judge or jury, we are often able to obtain favorable resolutions for our clients without actually having to go to trial. 

Our clients come from all segments of the securities markets and our attorneys understand not only the law, but our clients’ businesses as well.  Zelle Hofmann attorneys have substantial experience defending companies and individuals in civil and criminal securities litigation and investigations initiated by the SEC, Department of Justice and the NASD.  We frequently defend broker-dealers in securities arbitrations.  We have successfully defended clients against claims of unauthorized trading, churning unsuitability, failure to supervise, breach of fiduciary duty and fraud in cases involving stocks, bonds, options and derivative securities.  We also have substantial experience representing institutional investors and indenture trustees in contract-based disputes with issuers of debt securities.

Zelle Hofmann also routinely represents clients in shareholder derivative suits and class actions.  We are frequently called on to represent clients in disputes arising from the collapse of businesses, disputes growing out of joint ventures, distribution and licensing arrangements, contested acquisitions, and defaults in contractual performance.

Representative clients include:  Citicorp Investment Services, HSBC, Merrill Lynch, Morgan Stanley, NFP Securities, Round Hill Securities, Smith Barney,  and Wells Fargo.