Securities and Antitrust Litigation

Securities and antitrust cases are almost invariably complicated business disputes, the consequences of which can be devastating to the litigants if not handled correctly.  Pullman & Comley’s litigation attorneys are well-versed in the applicable state and federal laws that govern business operations, including the statutes and regulations that govern the issuance of stock by both private and public companies; the rules that define what two or more companies can and cannot do together; and the trade practices that give rise to liability for unfair competition.  Whether the case is a shareholder derivative suit, a class action, or an antitrust or unfair competition claim brought by a customer or competitor, and whether it is filed in state or federal court, we can assist.

Our attorneys also have significant experience representing broker-dealers and investment advisors, as well as institutional and individual investors, in securities arbitrations and mediations before the Financial Industry Regulatory Authority (FINRA).  We offer extensive knowledge and insight into the FINRA (the successor to the National Association of Securities Dealers – NASD) Dispute Resolution process and have a sophisticated knowledge of securities law.  Pullman & Comley’s litigators have experience in disputes involving claims relating to unauthorized trading, suitability, breach of contract, breach of fiduciary duty, fraud, misrepresentation, failure to supervise and churning, among other claims.

Representative Experience

• Successfully defended a company against a criminal claim of price fixing in a recent antitrust case
• Successfully defended a class action complaint brought against our client to challenge the business terms of the purchase of the company 
• Represented several financial institutions named as defendants in a multidistrict antitrust class action brought against two of the world’s largest credit card companies and many of the country's largest banks, challenging the fee structure and rules of credit and debit card payment networks; achieved the voluntary dismissal of two institutions  
• In the securities litigation context, recently defended a publicly traded company accused of back-dating stock options in derivative cases brought in state and federal court, securing a dismissal of the federal action for failure to make adequate demand