Corporate Defense and Disputes

Important developments in U.S. securities law, white collar criminal defense, regulatory enforcement and other emerging issues impacting financial services institutions, publicly traded companies and private investment funds

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Lawrence Elbaum

Lawrence S. Elbaum is a senior associate in the Litigation Department. He focuses on securities and financial services litigation/regulation, non-compete and trade secret matters, and bankruptcy-related proceedings. He has substantial experience in representing companies in the financial sector (including self-regulatory organizations, banks, investment funds and broker/dealers), as well as in the manufacturing and real estate industries.

Clients often call on Lawrence not only for litigation counseling and day-to-day legal advice, but also to prepare employee non-competition and confidentiality agreements, and defend against investigations commenced by various regulators and statutory trustees.

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What Threats Can Muffle a Corporate Action? FINRA May Rely on SEC Enforcement Proceedings

In a pair of recent opinions, the Securities and Exchange Commission (SEC) found that FINRA acted within the scope of its rules and governing statutory scheme in refusing to announce corporate actions for companies whose executives were subjects of regulatory actions alleging securities laws violations. FINRA is a self-regulatory organization (SRO) responsible for regulating the … Continue Reading

Supreme Court Clarifies the Standard Governing Removal of Class Action Cases to Federal Court

The US Supreme Court ruled on Monday that class action defendants need not provide evidentiary submissions in support of their attempts to remove a case from state to federal court.  Rather, they need only include in their notice of removal a “plausible allegation” that the amount in controversy exceeds the jurisdictional threshold. In Owens v. … Continue Reading
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