Securities and Shareholder Disputes


"Keep your face to the sunshine and you cannot see a shadow." ~ Helen Keller

We handle FINRA arbitration as well as derivative actions and shareholder complex disputes, enforce notes and understand the ramification of the financial obligations and breaches. Securities litigation is a multifaceted, highly specialized area of practice. The securities laws are complex, and securities cases typically involve high stakes and sensitive matters. Securities claims present the risk of substantial damage awards and adverse publicity, as well as other serious risks and exposure. Often the threatened exposure bears little relation to the true merits of the claims.

Whether you face a shareholder agreement breach, fundamental to any business you need to know your rights and obligations. Our New York business litigation lawyer can help create shareholder agreements that help your business. Shareholders have to uphold the terms of the shareholder agreements. Furthermore, shareholders who play an active role in the business have fiduciary responsibilities to the business. Our goals as your attorneys go beyond mere dispute resolution. We want to help create a spirit of cooperation and teamwork within your company.

If an actual shareholder dispute does come along, our attorneys will not only resolve the dispute, but also use the dispute as an opportunity to strengthen your business for the future.

Common sources of shareholder disputes include: dissenting shareholders, minority shareholder oppression, and transactions in company stock. Our litigators have successfully defended large and small public and private companies, directors and officers, investment banks, underwriters and analysts, accountants, attorneys, venture funds, majority shareholders, broker/dealers and lenders, as well as the California Department of Corporations, in a wide variety of securities matters. Our clients represent a broad range of industries, from manufacturing, technology, aerospace, biotech, crypto currency disputes, healthcare, retail and entertainment to accounting, banking and other areas of financial services.

Shareholder Derivative Suits Shareholders and directors are frequently embattled in litigation. Shareholders may claim that directors have breached their fiduciary duty to the corporation. They may also claim an abuse of control, waste of corporate assets, or gross mismanagement. The conduct of a director is governed by the duty of loyalty, which prohibits a director from profiting at the expense of the corporation. A director may also have failed to manage honestly and in good faith, breaching the duty of care to the corporation. Our #experience lawyers can aggressively represent either party in #shareholder derivative suits. Shareholders have fiduciary responsibilities toward one another and toward the business. What is fiduciary responsibility? In the famous words the great Justice Cardozo: “A trustee is held to something stricter than the morals of the marketplace. Not honesty alone, but the punctilio of an honor the most sensitive, is then the standard of behavior… the level of conduct for fiduciaries [has] been kept at a level higher than that trodden by the crowd.”  Meinhard v. Salmon, 164 N.E. 545 (N.Y. 1928). #securities #law #rights #derivativeaction #token #justice