In today’s business climate, when a company can easily and quickly find itself facing shareholder threats, regulatory scrutiny, and securities-related litigation, it is critically important that your law firm possess the experience and national reach to swiftly defend your securities fraud lawyerinterests. That’s why our clients turn to The Berman Law Group.

Securities Class Action Defense
· Broad experience representing companies and their officers and directors, auditors, attorneys, underwriters, hedge funds and private equity firms
· AIG panel counsel
· Defended all types of securities claims – from accounting fraud and restatements to hyped projections and missed forecasts
· Detailed databases of court decisions, briefs and related topics, to assist in defense strategies that are tailored to the facts and jurisdiction of the particular case

Shareholder Derivative Litigation
· Representation of public companies and their officers and directors in derivative actions arising from mergers and acquisitions, executive compensation, and other corporate transactions or events in which a company’s shareholders, purportedly acting on behalf of the company, assert claims against corporate officers or directors
· Broad experience attacking demand futility allegations, and the judgment to know when – and when not – to establish a special litigation committee
· Counseling special or audit committees to evaluate and respond to actions before and after they are filed

Securities Regulatory Practice
· Representation of issuers and their officers and directors, accounting firms, broker-dealers, registered individuals, hedge funds, and investors in investigations by the SEC, the Justice Department, the states’ Attorneys General, as well as the CFTC, FINRA, NYSE and other banking regulators involving:
o Accounting fraud and earnings management
o Analysts’ conflicts of interest
o D&O bar proceedings
o Delisting proceedings
o Insider trading
o Individual enforcement actions for financial fraud
o Market timing and late day trading
o Market manipulation
· Internal investigations and compliance reviews for broker-dealers and investment advisers, as well as development of anti-money laundering and internal control policies and procedures

White Collar Securities Defense
· Matters that formerly were handled through civil or regulatory action often now result in criminal investigations or parallel criminal and SEC, CFTC or state agency regulatory action; our counsel to individual and institutional clients is directed at securing outcomes that preserve clients’ reputations and minimizing the impact of proceedings on their ongoing business activities

Broker-Dealer Arbitration And Defense
· We regularly handle matters before the:
o Financial Industry Regulatory Authority Dispute Resolution
o Securities and Exchange Commission
o American Arbitration Association
o National Futures Association
o State and federal courts across the country
· We have wide-ranging, real-world experience analyzing and explaining to judges, juries and arbitration panels complex issues involving such diverse financial products as:
o Partnerships
o COOs, CMOs and other mortgage-backed securities
o Options
o Commodities and futures
o Hedge funds
o Structured products
· Our experience goes well beyond customer dispute issues, most of which involve claims of unsuitability or churning; we also handle broker-dealer raiding and employment cases involving claims of wrongful termination, harassment and discrimination, defamation and theft
· We have a wealth of valuable resources to assist in the defense of these matters, including:
o A detailed arbitrator database containing detailed information about more than 2,500 FINRA arbitrators throughout the U.S.
o A unique and proprietary database of national contacts, resources and investigators to support the defense of our clients
o A one-of-a-kind securities industry “intranet” that offers secure, direct access to the experience and work-product of GT attorneys, including:
§ Awards, orders, articles and case law
§ Arbitrators, mediators and experts
§ Client specific documents
§ Statutes, industry rules and regulations
§ Memoranda and pleadings
§ Websites

Going Private Transactions
Our team represents companies, independent directors, special committees, buyers and sellers in connection with:
· Stockholder class and derivative actions
· Dissenters’ rights appraisal
· Contests for control
· Investigations by the SEC regarding promotion of value of the corporation’s publicly traded securities
· Proxy solicitations and appraisal of fair value of dissenters’ shares
· Material breaches of representations and warranties in stock purchase agreements
· Damages or rescission of stock purchase agreements

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