Auction-Rate Securities Under Attack
Strategies for Pursuing and Defending Claims Against Broker–Dealers
***Dozens of Lawsuits and Arbitrations Filed Since March; SEC, FINRA and State AGs Launch Investigations***
Recording of a 90-minute premium CLE webinar with Q&A
- Current government enforcement efforts
- Status of pending lawsuits and arbitration proceedings
- Damages sought
- Class certification and litigation challenges — plaintiff and defense perspective
- Mandatory arbitration clauses
- Meeting predominance and superiority requirement
- Proving liability
- Will the market correct the problem?
- Strategies for prevailing in claims — plaintiff and defense perspective
The panel reviewed these and other key questions:
- What is the basis for legal claims regarding auction-rate securities?
- What challenges will investors' counsel face in obtaining class certification for auction-rate securities cases?
- What strategies can investors' and broker–dealers' counsel employ to prevail in auction-rate securities claims?
- How are government agencies addressing the allegations against broker–dealer companies?
O'Melveny & Myers
He is a litigator with extensive experience litigating major state and federal actions. He has particular experience in... | Read More
He is a litigator with extensive experience litigating major state and federal actions. He has particular experience in securities class action cases.Close
Daniel C. Girard
He has successfully prosecuted over 75 class action matters. He coordinates the securities, antitrust and consumer... | Read More
He has successfully prosecuted over 75 class action matters. He coordinates the securities, antitrust and consumer legal matters handled by the firm.Close
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