"The entire Litigation team provides outstanding legal services."
Client quote, Chambers USA
Overview
Calfee’s Securities Litigation lawyers have extensive experience defending clients in securities fraud class actions, SEC enforcement investigations, and related derivative suits. We follow and participate in developments in SEC enforcement and the securities class action bar and understand the interplay between the boardroom and shareholders for public, private, or closely held corporations.
Whether parallel civil and regulatory actions, internal or external investigations, disclosure requirements, governance and compliance issues, insurance coverage, or business judgment, Calfee’s Securities Litigation team has the experience and judgment to provide definitive counsel no matter where the process leads.
Led by attorneys who have spearheaded defensive investigations and responses throughout their careers, the team also includes both securities and governance attorneys with experience representing businesses, issuers, underwriters, shareholder groups, directors and officers, and public bodies, as well as trial lawyers experienced in complex, bet-the-bank civil litigation and criminal trials.
Noteworthy
Chambers USA Leading Law Firm Rankings
Since 2005, Calfee has been recognized as a Leading Law Firm for Litigation: General Commercial by Chambers USA, most recently in Band 2 in Ohio (2024). Chambers USA researchers noted that the team "frequently advises on the plaintiff and defense-side commercial litigation matters, offering considerable strengths in securities, product liability, antitrust and construction disputes. Also offers experience in criminal litigation, defending a range of individuals and businesses facing regulatory enforcement actions. Acts for clients in sectors including healthcare, financial services, and manufacturing."
Clients interviewed by Chambers USA researchers commented, "We're very pleased with the firm's breadth of expertise and ability to bring together the right people. I think they are a good balance of practical and strategic. Calfee is very responsive; it's an excellent firm. They're savvy, quick to adapt, and put people at ease in complex commercial litigation. The team is exceptionally responsive. The entire team provides outstanding legal services."
Best Lawyers® “Best Law Firms” Rankings
Calfee was selected for inclusion in the 2025 "Best Law Firms" rankings in the following areas, which are in addition to numerous Litigation practice areas:
- Securities – Litigation (Regional Tier 3 Cincinnati)
- Securities / Capital Markets Law (National Tier 2, Regional Tier 1 Cleveland, Regional Tier 1 Cincinnati)
- Securities Regulation (National Tier 1, Regional Tier 1 Cleveland, Regional Tier 1 Cincinnati)
Benchmark Litigation Rankings
Calfee was selected for inclusion by Benchmark Litigation 2025 as a Highly Recommended Law Firm in Dispute Resolution in Ohio. Additionally, 16 of Calfee's Litigation partners have been ranked by Benchmark Litigation as "Litigation Stars" in the U.S. (National), Midwest, and Ohio and as “40 & Under" and "Future Stars" Honorees.
Professionals
Professionals
Experience
Experience
Securities Fraud Class Actions
- Represented the officers and directors of a publicly traded medical equipment manufacturer in related securities fraud and ERISA class actions alleging fraud and breaches of fiduciary and other duties in regard to disclosures regarding regulatory compliance programs.
- Represented a publicly traded insurance company in a securities class action arising out of a successful merger.
- Represented a utility company in four separate securities class actions regarding tax and accounting issues.
- Represented a private equity fund in a securities class action arising out of a successful merger.
- Represented the underwriters in an IPO-related securities fraud class action.
- Represented the accounting officer in a class action alleging securities fraud based on disclosure and accounting issues; obtained complete dismissal.
- Represented the former executive of a financial company in a class action alleging securities fraud.
SEC and Other Regulatory Enforcement Actions
- Represented a publicly traded company in an SEC whistleblower investigation.
- Represented a publicly traded company in the oil and gas industry in an FCPA investigation by the SEC, resulting in a close-out letter, with no further action, from the SEC.
- Represented a Former executive of a financial company in an SEC investigation.
- Represented a publicly traded financial institution in a FINRA investigation.
- Represented a publicly traded financial institution in an SEC investigation.
- Represented a publicly traded company in a DOJ and SEC securities fraud investigation.
- Represented an accounting officer of a publicly traded manufacturing company in an SEC enforcement action alleging securities fraud based on accounting issues.
- Represented an officer of an investment advisory firm in an SEC investigation.
- Represented a publicly traded coatings company in an SEC investigation resulting in closing the investigation with no further action by the SEC.
Individual Shareholder and Derivative Actions in State and Federal Courts
- Representing an Asian consumer electronics company in a shareholder derivative action. Calfee is developing and implementing the defense strategies with co-counsel, interfacing with the court where this action was filed and the court to which the action was removed, and together with co-counsel, is drafting, editing, and providing comments on case filings, and also providing comprehensive representation to the clients.
- Represented a publicly traded insurance company in a derivative action arising out of a successful merger.
- Represented the officers and directors of a publicly traded medical equipment manufacturer in a shareholder derivative action alleging breaches of fiduciary duties in regard to regulatory compliance programs.
- Represented the current and former outside directors of a publicly traded financial institution in shareholder derivative suits alleging breaches of fiduciary duty and violations of federal securities laws.
- Represented the directors of a publicly traded company in a shareholder derivative action alleging stock option back-dating.
- Represented the CEO of a publicly traded company in a shareholder derivative action arising out of restatement of financials.
- Represented an accounting officer of a publicly traded manufacturing company in a shareholder derivative action regarding accounting and disclosure issues; obtained complete dismissal of claims.
- Represented the former outside directors of a privately held company in an action alleging breaches of fiduciary duties tied to equity investments and debt offerings.
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