Securities Regulation And Corporate Governance

Shepherd, Finkelman, Miller & Shah, LLP (SFMS) is a recognized leader in the area of securities regulation, corporate governance and securities litigation. On a nationwide basis, our securities law attorneys represent diverse clients on both sides of investment-related disputes and in regulatory proceedings and investigations before government agencies and industry entities.

SFMS has represented a variety of private and public entities, including institutional and other investors, investment managers, hedge funds and public and private pension funds, as well as private companies, officers and directors, and labor organizations. With multiple offices from New York to Florida to California, we serve clients across the United States and litigate in many state and federal jurisdictions.

Nationally Known Securities Law Attorneys

Our securities litigation practice is one of the largest and strongest practice areas of the firm. We have significant trial and appellate experience in the following areas:

  • FINRA arbitrations of investor/broker disputes
  • Shareholder class actions
  • Significant shareholder opt-out cases
  • Derivative director and officer (D&O) cases and investigations
  • Corporate control contests
  • Regulatory enforcement
  • Criminal prosecution for securities fraud and other matters

Our attorneys have worked with and against the SEC, Department of Justice and various self-regulatory organizations, including FINRA, in representing our clients. SFMS attorneys also have experience with a variety of securities registration and regulation issues under federal and state law and have worked with their clients with respect to Blue Sky and other compliance issues.

Plaintiff Lead Counsel · Corporate Counsel · Defense Representation

In addition to counseling our clients on matters related to securities regulation and corporate governance, SFMS lawyers have litigated complex securities and directors and officers cases in federal and state courts across the country. SFMS has served as lead counsel in a number of securities class action and other corporate governance matters. In such representations, SFMS has recovered tens of millions of dollars for our clients, while achieving important corporate governance reforms. Recently, SFMS has been engaged by a large and internationally known investment firm to defend and manage opt-out litigation and other securities matters.

To see a list of new securities cases click here.

Contact SFMS to discuss our services with one of our securities regulation and governance attorneys.