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Securities Class Actions Surging: Litigating Section 10-b, Section 11, Section 12 and M&A Claims

Pursuing, Defending and Settling Fiduciary Duty, Accounting and Insider Sales Claims

Recording of a 90-minute CLE webinar with Q&A

This program is included with the Strafford CLE Pass. Click for more information.
This program is included with the Strafford All-Access Pass. Click for more information.

Conducted on Thursday, November 17, 2016

Recorded event now available

or call 1-800-926-7926

This CLE course will provide class action counsel with a briefing on the most recent developments in securities class actions and analyze trends in successful and unsuccessful filings, causes of action and defenses. The panel will identify patterns in court rulings across the country to provide strategies for counsel defending against or pursuing various types of securities class action suits.


Securities class action filings this year are on track to reach a new high. With the dramatic increase in the number of securities class actions being filed against companies in a wide array of industries, practitioners must prepare by staying on top of the latest trends in filings, motions and rulings regarding these cases.

Class action attorneys continue to file securities class actions alleging violations of Rule 10b-5, Section 11 and Section 12, and there is also an increased focus on federal merger objection cases with claims including breach of fiduciary duties, accounting claims, and insider sales allegations. Settlements in these cases are in the hundreds of millions in dollars.

To capitalize on, or combat, the flood of new cases, counsel must either prepare to bring strong and proven defenses or leverage plaintiff tactics used in winning cases.

Listen as our panel of expert litigators examines the various causes of actions and defenses asserted in securities class actions, latest trends from recent securities cases and strategies for structuring settlements in securities class actions.



  1. Latest trends in securities class actions
  2. Class certification issues
  3. Types of claims and defenses
    1. Rule 10b-5 claims and defenses
    2. Section 11 claims and defenses
    3. Section 12 claims and defenses
    4. Federal merger objection claims and defenses
  4. Settlement strategies


The panel will review these and other key issues:

  • What are the latest trends in securities class actions?
  • What strategies are successful in defeating class certification?
  • What are the most recent successful litigation strategies being used in 10b-5 claims, Section 11 claims, Section 12 claims and merger claims?
  • How are securities class action settlements being structured?


Kate M. Baxter-Kauf, Esq.
Kate M. Baxter-Kauf, Esq.

Lockridge Grindal Nauen
Inez Friedman-Boyce
Inez Friedman-Boyce

Goodwin Procter

Ms. Friedman-Boyce has spent more than two decades defending securities class action and shareholder litigation matters...  |  Read More

Markel, Gregory
Gregory A. Markel

Partner; Co-Head of Securities Litigation
Seyfarth Shaw

Mr. Markel is a nationally known trial lawyer who concentrates his practice on corporate governance litigation, mergers...  |  Read More

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