Securities Litigation


Skilled Legal Counsel for Your Business

When it comes to any type of litigation matter, you will need assistance from a legal team known for providing driven, results-based representation. The importance of this type of legal counsel will be magnified when complex financial matters are involved in your case. At Hicks Thomas LLP, we know that strategic, aggressive, and effective counsel will be essential to securing timely and favorable resolutions in high-stakes securities, corporate, business, or commercial disputes.

We lead companies, in-house counsel, directors, and corporate officers through difficult cases involving securities litigation. As professionals ourselves, we always operate with the goal of minimizing disruption to your everyday business and with an eye focused specifically on a cost-conscious resolution.

Your business is a great investment. We can help protect it.

We proudly defend companies and directors in claims brought against them by shareholders. We help our clients develop courses of action to manage the risk of litigation that commonly follows transaction disputes or financial disagreements. We routinely develop effective plans to successfully resolve civil, criminal, internal, and international issues.

We have knowledge of both state and federal securities laws and can handle:

  • Asset-backed securities
  • Breach of contract, fiduciary duty, or other types of misrepresentation
  • Direct, derivative, and class action cases
  • Hedge funds and private equity
  • Investment partnerships
  • Shareholder disagreements
  • Venture funds

If you are involved in a possible securities fraud matter or allegations of supervisory failures, we are well versed in federal court actions, including the Securities and Exchange Commission, the Financial Industry Regulatory Authority, and other relevant government agencies. Clients benefit from our sound legal counsel based on up-to-date knowledge of securities law and investment regulations.

Representation for Corporate Entities and Professionals

We are knowledgeable, experienced, and adept professionals who can inform you of your chances of success in or out of court. We maintain a "no surprises" policy in our approach to legal representation and inform you of every development in your case. Doing so allows our entire team to create rational, effective cases, especially when the stakes are high. If the risks are unfavorable to your business, we can help you determine which alternatives you can potentially pursue to achieve the settlement that will benefit you.

Contact Hicks Thomas LLP to protect your business interests.