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Harwood Law’s experience in securities fraud includes prosecuting and defending class actions and individual claims and the defense of companies and individuals in civil and criminal securities fraud investigations. Representative matters include:

  • Prosecuted securities fraud claims on behalf of high net worth investors in an oil and gas exploration company. Recovered the investors’ entire investment in a settlement after defeating defendants’ motion for summary judgment.
  • Defended a leading investment bank in multi-district litigation alleging claims of securities fraud arising out of a private offering of securitized assets. Obtained dismissal of all claims on a pre-trial motion.
  • Prosecuted to verdict a class action securities fraud case in a six week jury trial seeking a multi-billion dollar recovery.
  • Defended a public company in a class action litigation asserting securities claims. Obtained a dismissal with prejudice on a pretrial motion.
  • Defended an insurance and investment company in multidistrict litigation involving claims arising from its role as a surety in a limited partnership offering. Obtained a dismissal on a pretrial motion.
  • Defended a senior bank executive in a criminal investigation by the Manhattan District Attorney concerning allegations of fraud related to the bank’s transactions with Enron.
  • Defended a public distribution company in a formal investigation before the Securities and Exchange Commission concerning allegations of improper revenue recognition.
  • Defended an international law firm in multi-district, class action litigation alleging claims of securities fraud and malpractice arising out of the firm’s representation of the lead underwriter in a public offering. Obtained a dismissal of all claims on a pretrial motion.
  • Defended a lawyer in a joint investigation by the department of Justice and the Securities and Exchange Commission into criminal and civil charges of securities fraud.