Securities litigation and investigations are highly sensitive and critically important to companies and individuals. Our clients call on us to represent them in these high-stakes matters, and we handle them efficiently and effectively to help our clients achieve the best possible outcomes.

The lawyers in Wiggin and Dana's securities litigation practice group are routinely engaged by investment banks, hedge funds, accounting firms, insurance companies, executives and others. Our lawyers have experience defending government investigations by the SEC, CFTC, FINRA and DOJ, and in securities class actions, and other civil and criminal litigation. Our deep bench of former federal prosecutors and experienced civil litigators constitute a multi-disciplinary team with broad and deep experience that helps our clients navigate complex securities matters.

Our recent experience includes:

  • defending a bank in a class action relating to the Bernard Madoff Ponzi scheme;
  • defending a financial services company and its senior executives in a securities class action alleging the company misled investors about its compliance management systems; 
  • representing a large national brokerage firm in a SEC investigation into public disclosures and custody practices of a subsidiary investment advisor; 
  • representing a large national investment advisory firm in connection with SEC investigations into mutual fund disclosures; 
  • representing a broker-dealer in connection with twin SEC and DOJ investigations into possible market manipulation; 
  • defending an international bank and several of its officers in SEC and state Attorney General investigations, as well as a federal securities lawsuit brought by Freddie Mac and Fannie Mae, in connection with the sale of over $30 billion in residential mortgage-backed securities; and 
  • representing a hedge fund investigated by the FBI and U.S. Attorney's Office for alleged insider trading, and defending the fund in a putative insider trading class action.

We invite you to visit our "Experience" page to see more of our representative matters.