PRACTICE AREA - Investment Fund Litigation and Regulatory Defense

Investment Fund Litigation and Regulatory Defense

Kleinberg Kaplan has been representing the interests of private investment funds for decades. Our litigators have appeared in the state and federal courts as well as before arbitration panels throughout the United States on behalf of a large number of private investment funds, their advisors and principals. This foundational aspect of our practice focuses on the enforcement of complex financial instruments and the prosecution and defense of investment-related actions, business disputes, fraud suits against public issuers, and activist-initiated control contests as well as mergers and acquisitions. We are as comfortable initiating litigation to enforce complex trades or rights under indentures, warrants and subscription agreements, to pursue securities law violations or to enjoin tender offers in violation of credit agreements, as we are defending insider trading or “short swing” profit claims and class action lawsuits alleging breach of fiduciary duty and other merger or fund-related disputes.

Our litigators also regularly defend enforcement actions and regulatory investigations and assist clients in responding to subpoenas and regulatory inquiries from the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Commodity Futures Trading Commission, the Chicago Board Options Exchange, the National Futures Association, and the United States Department of Justice as well as by regulatory authorities in other countries.

Additionally, Kleinberg Kaplan represents purchasers of distressed securities in bankruptcy litigation and private investment funds owning positions in troubled companies in avoidance actions and other bankruptcy-related litigation matters on behalf of such funds.



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