Securities and Shareholder Litigation

Mirick O’Connell attorneys represent clients in shareholder disputes and securities arbitrations as well as in SEC and other regulatory investigations.

Our attorneys represent clients by both prosecuting and defending minority shareholder claims, claims of breach of fiduciary duty, derivative litigation and other corporate governance disputes in public and private companies.

Our securities litigators also have experience representing investors and brokerage firms in FINRA arbitrations involving allegations of securities fraud and account mismanagement.  We have represented clients in SEC, FBI and other regulatory investigations involving alleged securities fraud.

Our attorneys have also conducted internal investigations on behalf of boards of directors and committees of independent directors.

Practice Chair

David K. McCay

David K. McCay

Representative Matters

  • Represented a major stockholder in a public company in a shareholder derivative suit involving claims of breach of fiduciary duty and self-dealing by top-level management
  • Represented individuals and broker-dealers in FINRA arbitrations involving claims of churning, unsuitability and other types of account mismanagement  
  • Defended the principal of a privately-held investment management company against claims of account mismanagement
  • Represented a majority shareholder in a post-sale dispute involving allegations of bank fraud
  • Represented an investor in a claim against a 401(k) plan administrator involving allegations of market timing and violations of mutual fund trading practices 
  • Represented a majority shareholder in defense of a freeze-out claim following the termination of a minority shareholder executive
  • Represented a client in a government investigation involving alleged accounting irregularities and successfully settled the matter following the preparation of a Wells submission 
  • Represented investors in bringing a derivative action for breach of fiduciary duty and operation of a limited partnership in violation of the partnership agreement 
  • Represented a client in SEC, FBI and grand jury investigations involving alleged violations of federal securities laws
  • Represented a minority shareholder in prosecution of freeze-out, wrongful termination and self-dealing claims

Our Practices