Securities Litigation

Our lawyers have defended hundreds of directors, officers and public companies in securities class actions and investor-related litigation in federal and state courts around the United States.  We have also represented individual investors, funds and executives in dozens of securities arbitration and investment-related disputes.  We also have deep experience in representing clients before the SEC and state securities regulators. 

Examples of our work:

  • We represented a publicly-traded biotechnology company and certain of its directors and officers in defense of class action securities fraud claims in U.S District Court.  We brought an early motion to dismiss the case in its entirety, which the federal judge granted, handing a complete victory to our clients.
  • We won dismissal of a securities class action brought against the largest independent broker-dealer firm in the United States, along with its officers and directors.  We won multiple dismissal orders in the U.S. District Court and convinced the plaintiffs to abandon their appeal in the Ninth Circuit.
  • We assumed the defense of directors and officers of a publicly-traded company who were accused of securities fraud and who had lost a motion to dismiss while represented by prior counsel.  We developed facts that rebutted key allegations in the case and successfully persuaded the class action lawyers to resolve the claims against our clients with no payment.
  • We won dismissal of a securities class action filed against a leading, publicly traded provider of HR, payroll and co-employment services to businesses around the United States.  We won a complete dismissal of all claims against the company, its executive team, and its board of directors.  We prevailed on the appeal in the Ninth Circuit.
  • We represented a privately-held technology company and its CEO in state securities fraud claims in California Superior Court in connection with the Company's purchase of shares.  We won an early, partial dismissal of the suit, and attacked the remaining claims on the facts.  After discovery closed, we successfully negotiated a resolution involving no payment by our clients.
  • We represented the founders of a successful technology company who were misled by other, larger investors in connection with an important securities transaction.  We filed suit to recover for our clients and defeated efforts to dismiss, ultimately crafting a powerful case for liability and resolving the litigation with our clients receiving a substantial payment.
  • We represented a San Francisco-based investment fund that was misled by certain statements made in connection with a tender offer.  We filed a compelling federal suit and defeated efforts to dismiss the case.   After pursuing an aggressive discovery strategy, we successfully resolved the action on the basis of substantial payment to our client.


Kaufhold Gaskin Gallagher LLP would be pleased to discuss your legal issue by phone or in person. Send us a message and one of our attorneys will respond to set up an appointment.