Private Securities and Investment-Related Litigation

Securities and corporate transactions frequently lead to complex legal disputes. When that happens, we are able draw on our experience in the highly specialized fields of corporate and securities litigation, corporate governance, and securities regulatory law to develop innovative litigation strategies and practical business solutions to meet our client’s end game.

Our firm regularly represents clients in disputes involving management and control issues, including litigation arising from mergers and acquisitions, partnership and limited liability company disputes, and other corporate transactions. We have represented clients in matters involving securities fraud, misrepresentation, breach of fiduciary duty and breach of contract. Our clients include companies of all types and sizes, as well as officers, directors, shareholders, and other consultants and professionals. We also regularly represent defrauded investors and help them recover their hard-earned money. 

As leading industry experts, we have been retained to advise issuers and investment advisors on the evolving securities landscape stemming from the JOBS Act and other federal and state laws. Our attorneys are regularly asked to speak at conferences and seminars on various issues arising from changes in state and federal securities laws.

Representative Matters (Plaintiff)

• Obtained $1.4 million settlement, without filing suit, on behalf of offshore investment fund manager whose funds were being held hostage by offshore broker dealer.
• Obtained $1.3 million settlement, without filing suit, on behalf of an angel investor who invested $150,000 in a SaaS startup.
• Obtained $500,000 settlement, without filing suit, on behalf of the founder and CEO of a technology company who a venture capitalist attempted to squeeze out of the business.
• Obtained $517,000 settlement, without filing suit, on behalf of a victim who invested $300,000 in a fraudulent business.
• Obtained $300,000 settlement, without filing suit, on behalf of the founders of a SaaS startup outsourced development provider whose partner refused to honor the terms of their agreement.
• Obtained $105,000 settlement, without filing suit, on behalf of a co-founder of a local food festival when purchaser of the festival refused to honor the terms of their agreement.
• Obtained a court-appointed receiver on behalf of client who was defrauded by the owners of a closely held LLC, Kiser v. Dentcorp (Fulton Superior).
• Obtained a court-appointed receiver on behalf of client who was defrauded by his deceased business partner over the objection of the executor of the partner’s estate, Medical Collection Systems v. Burn and Reconstructive Centers of America (Richmond Superior).
• Filed suit on behalf of M&A broker whose client refused to pay his commission, alleging that the contract violated the securities laws. Defeated motion to dismiss and obtained favorable settlement for client. Cliff Company, Inc. v. Performance Rehab, Inc. (N.D. Fla.).
• Obtained a favorable settlement for a minority shareholder challenging actions of board and majority shareholders of Delaware corporation during M&A transaction with a private equity fund.
• Represented a group of sophisticated investors who were victims of a real estate investment scam and suffered over a million dollars in losses as a result of the scam.
• Represented an investor whose broker engaged in an unauthorized transaction in our client’s account.

Representative Matters (Defense)

• Obtained dismissal of claims against the Chief Financial Officer of a Fortune 100 company, after the CFO was named a defendant in a class action for allegedly misrepresenting his company’s financial position.
• Represented accounting firm in securities fraud class action. Matter settled favorably for client.
• Represented institutional broker dealer in securities fraud class action. Matter settled favorably for client.
• Advised company in internal investigation involving investor’s breach of internal controls and potential theft of company funds. No charges or litigation filed against company.
• Obtained dismissal of claims of breach of fiduciary duty and breach of investment agreements related to investments of approximately $30 million in an offshore investment vehicle in the British Virgin Islands. Viken Securities Limited, Felipe Securities Limited, et al. v. Navin Dadlani, et al., Case No. 2014-cv-250215.
• Settled on favorable terms class action brought against public company to “hold up” a pending merger in Georgia Superior Court.
• Represented officers and directors of a public company in an adversary proceeding brought by the company’s trustee in bankruptcy. Matter settled on extremely favorable terms for clients.