Securities Fraud Litigation

Securities litigation and enforcement have increased in recent years, making it more likely that a company will face a lawsuit. Lawsuits can result from merger objections or alleged securities violations. Or a company can face a governmental or FINRA investigation.

Our dedicated group of securities litigators, who collaborate with our firm’s other practice groups, can help you with these important and high-stake securities matters. They’re capable of handling the often overlapping internal investigations, which usually originate from the various derivative actions or investigations instituted by the Securities Exchange Commission and other state and federal regulators or FINRA.

Our securities litigation team has been commended for their track record in this area, with a number of our attorneys being named to such well regarded ranking lists as Super Lawyers and Best Lawyers in America®. They bring years of experience and have done extensive work in the area of Securities Exchange Commission receiverships.


Our attorneys have provided dedicated, high-level service to our clients in various ways, including:

  • Serving as receiver and counsel for receivers in SEC receiverships throughout Florida;
  • Assisting and taking an active role on the Steering Committees in SEC receiverships;
  • Advising both private investors and financial institutions in a variety of securities matters;
  • Providing securities fraud litigation legal services to the New York Stock Exchange public companies and officers and directors in class actions and other litigation;
  • Representing a variety of major securities firms, other financial services institutions and brokers in FINRA arbitration and in related court proceedings; and
  • Advising clients in SEC and FINRA enforcement actions.

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Shutts & Bowen, established in 1910, is a full-service business law firm with approximately 270 lawyers located in eight offices across Florida.

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