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Securities

Through our representation of both public and private companies, we have a wide range of experience with federal and state securities law compliance. We assist our clients with public and private offerings of equity and debt securities, mergers, acquisitions and sales of businesses, SEC reporting and insider trading compliance, corporate governance, shareholder meetings and proxy contests, and regulation of private investment and hedge funds, broker-dealers, and investment advisers.

Our clients operate in a wide range of industries, including financial institutions, manufacturing, malt beverages, staffing services, technology, biomedical products, and media information services.

We use a team approach to meet our clients' needs. Our attorneys have expertise in acquiring and selling businesses, representing borrowers and lenders in loan transactions, banking regulation, federal, state, and local tax issues, corporate governance, emerging business formation and financing, executive compensation, and technology licensing.

Our goal is to earn long-term relationships with our clients through superior client service.

Representative Experience

Represented broker-dealer against claims for violation of federal and state securities laws arising from respondent's securities lending business. Claimant sought damages of over $50 million plus attorney fees. After five days of hearings, panel granted summary award for respondent and awarded it $287,000 in attorney fees and costs.
This case was brought by an investor who engaged in "short-selling" stock. After a substantial share value drop, claimant alleged numerous claims, including that his loans of stock were investment contracts and thus constituted sales of securities in violation of state and federal securities laws. Claimant sought $52 million in damages, plus attorney fees. Four experts testified in support of claimant's theory, but the three-member arbitration panel dismissed claimant's claims in their entirety. The arbitrators also awarded UBS all its attorney fees incurred in defending the case.
Our client, a broker-dealer of investment securities and commodities, won a jury verdict after a six-day trial. The case was brought by a commodities trader alleging claims for breach of contract, breach of fiduciary duty, statutory violations, and negligence seeking compensatory and punitive damages for losses incurred in connection with trading contracts for future delivery of crude oil and natural gas. The plaintiff appealed, and the Oregon Court of Appeals split five votes to five. The Oregon Supreme Court unanimously affirmed in favor of our clients the broker-dealer and its agents.
These consolidated actions involving multiple parties alleged securities fraud in connection with creation of a cellular telephone network in Puerto Rico. After several years of litigation, we obtained dismissal of our client, the law firm that created the entity and prepared the securities offering that was alleged to be unlawful.
We prevailed on behalf of defendant in a jury trial, on appeal to the Ninth Circuit Court of Appeals in the primary action, as well as in ancillary proceedings against opposing counsel, also appealed to the Ninth Circuit. This case began as a real estate dispute over competing property appraisals.