Securities Litigation

Frost Brown Todd represents corporations and SEC regulated entities, as well as their officers, directors and committees, that face complex securities litigation. Our securities litigators handle private securities-related litigation, shareholder class actions, derivative suits, proxy contests, shareholder disputes and claims involving broker-dealers, investment advisers and accountants.

Additionally, we help clients resolve insurance coverage disputes in connection with securities disputes. We work closely with other investment lawyers throughout the firm who understand and can address complexities and add to the dispute resolution process. Our goal is to provide cost-effective services that resolve disputes in our clients' favor in a reasonable time.

Our Experience: Representative Matters

• Decertified class in defense of $90 million 10b-5 "audit failure" case involving
FDA-approved process drug-testing centers
• Co-Led Defense Counsel in case involving public offering of $200 million of
high-yield debt
• Recovered millions of dollars for individuals and classes of investors abused by Ponzi schemes and negligent or fraudulent investment advisers and brokers
• Defended telecommunications company and officers in alleged 10b-5, shareholder derivative and ERISA class action
• Recovered from clearing broker and affiliated persons more than 100% of out-
of-pocket losses for numerous victims of a multi-million dollar boiler room scam
• Defended multi-million dollar 10b-5 "audit failure" cases
• Defended 10b-5 and alleged "going private" claims against corporation and officers and directors through trial and appeal, including successful prosecution of claims against plaintiff's attorneys for bad faith litigation
• Defended $90 million tower of coverage in third party complaint arising from two pieces of securities fraud litigation involving claims for over $600 million
• Defended $110 million securities laws claims and third party litigation involving coverage

Our Clients

• Public and private corporations
• Officers and directors
• Independent directors and trustees
• Shareholders and other public and private investors
• Broker-Dealers and Registered Representatives
• Investment Advisers
• Insurers
• Accountants

Our Resources

Frost Brown Todd is a full-service law firm with more than 350 lawyers. We offer multidisciplinary services from more than 50 integrated practice areas to ensure that no consideration is neglected in even the most complex transactions.

Service Area Contact(s)

  • Frederick J. McGavran

    513.651.6940
  • Robert L. Hartley

    317.237.3949