Williams Kastner securities attorneys advise clients on private and public corporate situations regarding regulatory and liability issues related to securities. Our attorneys handle the full range of securities and related issues, on both the state and federal levels. We also advise companies, board of directors and executives on a variety of securities and transactional matters, including SEC disclosure issues, corporate governance, M&A and aspects of public and private capital financing.
The team has been involved in numerous commercial litigation matters including:
- Securities fraud
- Shareholder and LLC disputes
- Class actions
- Backdated options
- Accounting irregularities
- Partnership dissolution
- Ponzi schemes
- Consumer protection claims
In addition, we have served as lead or local counsel for national and regional clients in a variety of actions and investigations, including the following:
- Shareholder class actions alleging securities fraud
- Shareholder alleging breach of fiduciary duty
- Proceedings before the SEC, FTC, FINRA and state regulatory agencies
Our Representative Experience Includes:
- Represented angel investor, board chairman and later CEO in a dispute where the founder was alleged to have committed fraudulent acts.
- Defended individual stock brokers and brokerage firms against claims of breach of fiduciary duty and securities fraud alleged by customers whose investment account suffered losses.
- Defended financial institution in class action claim by securities investors.
- Represented a Seattle contractor and a 50 percent shareholder of a closely-held construction company in suit for corporate dissolution and breach of fiduciary duty. The case was settled favorably for client, and dissolution avoided.
- Represented securities brokerage company against class action claims of vicarious liability for alleged fraud and misrepresentation committed by its representatives. The case involved the second largest Ponzi scheme to that date in the state of Washington with alleged losses of $26 million. Williams Kastner arranged a satisfactory settlement through mediation.
- Represented the Round Valley Indian Tribe in connection with breach of fiduciary duty and trust and trust accounting claims.