Securities and Shareholder Litigation

"A strong securities litigation practice – very smart lawyers, industry leaders and experts in the law."

The Legal 500 U.S. 2021

The Baker Botts Securities Litigation Team experience stretches across the country – including most of the federal circuits, as well as state courts all over the United States – and encompasses all facets of securities litigation and arbitration. Our representations often include parallel proceedings, and our lawyers are accustomed to handling internal investigations, enforcement proceedings and any accompanying litigation. When teamed with the intensive industry knowledge of our Corporate lawyers, the result is a thorough, aggressive and creative representation of our clients. Our Securities Litigators are easily distinguished from most of their peers by the fact that all have actually tried multiple jury and non-jury cases to conclusion.

Class Action Securities Fraud:
Our trial lawyers routinely represent issuers of securities, along with their officers and directors in class action securities fraud cases. We also frequently represent accounting firms, as well as underwriters in such matters.

Derivative and Fiduciary Duty Litigation:
Baker Botts lawyers often represent companies and their officers and directors in derivative and fiduciary duty lawsuits relating to corporate governance. We also continually counsel special litigation committees investigating derivative claims and special committees evaluating offers from majority shareholders, management buy-outs and other similar scenarios.

Contests for Corporate Control:
Our lawyers routinely advise companies on acquisitions and proxy issues and handle cases stemming from contests for corporate control.

DOJ and SEC Enforcement Matters:
We represent officers, directors and corporations in DOJ and SEC enforcement matters, including options practices, insider trading, accounting issues, mutual fund practices and IPO allocations. We also help audit committees conduct independent investigations relating to derivative claims, whistle-blower allegations and potential securities law violations. The firm’s lawyers include former SEC staff members, a former branch chief of enforcement at the SEC’s Northeast Regional Office in New York, and a special assistant United States lawyer in the securities crime unit in the Southern District of New York.

Broker-Dealer Representation:
We routinely represent broker-dealers in arbitrations brought by customers, former employees and competitors, as well as in investigations before the SEC, NASD, NYSE and state securities boards.


Related Experience


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Thought Leadership

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Enforcement Landscape

Speeches & Presentations

Panelist, Compliance Vision 2021 Symposium, Regulatory Compliance Association



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