Securities Litigation & Arbitration


wallstreet-crop Our firm represents clients in litigation brought under state and federal securities laws ranging from litigation emanating from initial public offerings to shareholder disputes stemming from mergers and acquisitions and tender offers, as well as insurance coverage issues raised in these contexts. Our clients include securities issuers, investors, investment advisory firms and broker-dealers.

We are a critical source of innovative solutions and trusted counsel regarding securities litigation and arbitration. We provide our clients with experienced, creative representation and comprehensive legal advice and advocacy in all aspects of that practice area. We take a big picture approach to securities law by looking beyond the issue at hand to see the multi-faceted layers of that issue and devise creative legal solutions designed to get our clients the best results possible. We have had significant success in the resolution of derivative lawsuits, customer disputes, insurance coverage demands, and merger and acquisition related litigation. Over the years, we have litigated against many of the most powerful firms in the brokerage and investment advisory industries, and have obtained redress for clients who were victimized by unscrupulous sales practices or placed in unsuitable investments. We also vigorously defend investment advisory firms, broker-dealers and other financial services providers in litigation and arbitration alleging federal and state securities violations, breach of fiduciary duty and related claims.

Having experience bringing and defending cases on behalf of investors and financial institutions has proven to be particularly beneficial to our clients, and provides them with an optimal advantage. Rather than being entrenched on “one side of the fence,” as is common at many law firms, having experience representing both sides enables us to proactively foresee potential issues before they arise, enabling us to represent our clients from a considerably different perspective than that of an opposing attorney focusing on only plaintiffs or defendants in litigation and claimants and respondents in arbitration.

Mr. Pass has been designated a Pennsylvania Securities Litigation Super Lawyer and a National Securities Litigation Super Lawyer by Law & Politics and Philadelphia magazines. In addition, Mr. Pass participated at a hearing before the United States Senate’s Permanent Subcommittee on Investigations of the Committee on Governmental Affairs focusing on fraud in the micro-capital markets and penny stock fraud with respect to the significant losses suffered by elderly and unsophisticated investor clients.

Representative Matters for this Practice Area