The Spanos Law Firm represents businesses and individuals in securities litigation matters, in particular securities fraud, derivative litigation, and regulatory matters. We represent the officers, directors and employees of these firms in matters ranging from SEC, state and self-regulatory (SRO) investigations, to class action litigation related to a variety of alleged wrongdoing under state and federal securities law.
For example, we have successfully defended financial institutions in connection with a variety of fraud-based claims. The firm has handled matters involving mutual fund sales practices, payment for order flow, and Rule 10b-5 claims. We have also defended class actions filed against issuers, underwriters, officers and directors.