Securities Litigation & Arbitration

SBR’s partners have vast experience handling lawsuits and arbitrations involving the federal and state securities laws from inception through trial and appeal. In those matters, we regularly represent pension funds, venture capital funds, hedge funds and other institutional investors, as well as entrepreneurs and other high net worth individuals.

The firm’s partners have served as lead counsel for institutional investors in securities class actions that produced settlements far beyond the percentage recoveries typically achieved for class members. In those matters, the firm has recovered hundreds of millions of dollars for class members. SBR has also successfully represented hedge funds and other institutional investors that “opted out” of securities class actions and secured far better results than they would have achieved as class members. The firm has won a number of multi-million dollar recoveries for individuals and institutional investors pursuing fraud-related claims against brokerages and their employees in arbitration proceedings before the Financial Industry Regulation Authority (FINRA) and other arbitral bodies.

Since 2002, SBR has acted as special counsel to the State of New Jersey’s public pension funds in securities fraud matters. The Securities and Exchange Commission has also retained SBR on multiple occasions to serve as a receiver and distribution agent in cases involving insider trading and Ponzi schemes. The firm’s successful results in securities fraud actions include In re Tyco International Ltd. Securities Litigation, where SBR secured settlements totaling $85 million on behalf of a number of State of New Jersey pension funds. Those settlements totaled more than 50 times the recovery our clients would have received had they remained members of the class in the Tyco lawsuit. As a result, the court cited SBR’s work as the “gold standard” for the lawyers in the many related opt-out actions.

One of our mutual fund fraud class actions produced a $20.5 million settlement, which represented 98% of the damages claimed by class members. The judge in that matter noted that “certainly, the class was ably represented and the ensuing settlement is commendable.”

Following our successful representation of the class in a securities fraud action against a corporate defendant and a brokerage firm, Judge Denise Cote of the Southern District of New York stated, “I felt at every step of the case that [SBR was] extraordinarily competent, diligent, responsible, helpful to this court and appropriate in your conduct of this case, and I think the class was well served by your representation of them, very well served.”

New York Office


1700 Broadway
41st Floor
New York, New York 10019

Phone (212) 239-4340
Fax (212) 239-4310

New Jersey Office


447 Springfield Avenue
2nd Floor
Summit, NJ 07901

Phone (908) 516-2045
Fax (908) 516-2049

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