Securities Litigation & Enforcement

Selecting the right legal counsel is of paramount importance in securities litigation and enforcement matters. Winstead's Securities Litigation and Enforcement Practice Group offers its clients a wealth of experience at all levels of federal and state securities regulation and private litigation.

Winstead's Securities Litigation and Enforcement Practice Group serves clients in the following areas:

  • Capital Markets and Securities Fraud Class Action Litigation
  • SEC/SRO Enforcement, Regulatory Matters and Internal Investigations
  • SRO Arbitrations
  • Broker-Dealer Business Litigation
  • Financial Services Industry Trust and Fiduciary Matters

Capital Markets and Securities Fraud Class Action Litigation
Winstead regularly represents issuers and capital markets clients and their officers and directors in the full range of class action, derivative and individual investor litigation arising under federal and state securities laws. Our clients include publicly traded and privately held companies and other capital markets participants, including financial services firms, hedge funds, private equity funds and investment companies.

While we understand the importance of achieving cost-effective, favorable pretrial results, Winstead attorneys are trial-ready. In fact, Winstead is one of the few law firms in the country to have defended a Section 10(b) and Rule 10(b)(5) class action lawsuit before a jury in federal court.

SEC/SRO Enforcement, Regulatory Matters and Internal Investigations
Fortified by many years of experience in government service and private practice, Winstead's securities litigation attorneys provide comprehensive and practical counsel to public companies, financial services firms and individuals facing regulatory investigations and enforcement actions, including those brought by the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Department of Justice, State regulators, the New York Stock Exchange and the National Association of Securities Dealers.

Recent or current enforcement matters involve:

  • Broker-dealer sales practice issues
  • Fixed-income trading desk practices
  • Mutual fund share class issues and market timing
  • Options practices
  • Public sale of equity-linked and other derivative products
  • Internal investigations on behalf of public company boards with respect to earnings recognition and other financial reporting issues

SRO Arbitrations
Winstead offers its clients a wealth of experience defending securities and financial services firms in private client litigation before the New York Stock Exchange and National Association of Securities Dealers not only in Texas and the Southwest region, but throughout the United States. Collectively, Winstead lawyers have handled hundreds of arbitrations on behalf of national brokerage firms. Our firm provides effective and cost-efficient representation by understanding the goals and sensitivities of our clients and providing meaningful early case evaluations. Going forward, we engage in skillful negotiation where appropriate, but deliver focused and assertive advocacy in contested matters.

We have defended claims involving, among other issues, suitability, research and investment banking conflicts of interest, unauthorized trading, discretionary accounts, third-party investment managers, annuities, selling-away, failure to supervise and best-execution.

Our arbitration experience includes virtually all areas of substance – from routine to extraordinary – including, for example, overseas and NRA customer transactions and "online" suitability, execution and supervision. Our ability to handle private client litigation is buttressed by our depth in related regulatory and enforcement matters.

Broker-Dealer Business Litigation
Winstead has extensive experience representing financial services firms in commercial and "back office" litigation. The firm's experience covers all types of Article 3 & 4 UCC related disputes with account holders, as well as margin account, collection, and account beneficiary-designation litigation, and other types of operations/"back-room" disputes.

Financial Services Industry Trust and Fiduciary Matters
Winstead's trial attorneys work effectively with the Labor, Employment & Immigration and Wealth Preservation practice groups in representing financial services firms, trust companies, fiduciaries and other parties in trust and estate administration disputes and litigation. Our representations have included will contests, breach of trust actions and other related fiduciary matters. Our attorneys also regularly assisted clients in litigation arising under the Employment Retirement Income Security Act of 1974.

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