Butzel's securities litigation team understands the complexities of regulated and unregulated securities and bank products, and we represent financial institutions when these things become involved in high-stakes litigation. We understand intricate, financial structures, we assess risk, and we guide clients to effective resolutions to their matters.

Our team represents broker-dealer firms, hedge funds, investment advisory firms, investment banks, mutual funds, other registered funds, and their directors, officers, and executives in securities-related regulatory matters. We guide clients through investigations and proceedings brought by FINRA, the SEC, and regulatory agencies created under the 1933 and 1934 Acts, the Investment Company Act of 1940, the Investment Advisors Act of 1940, the Commodity Exchange Act, and state securities laws. Our attorneys routinely litigate complex commercial and securities-related matters in state and federal courts, and we handle securities arbitration matters for brokerage firms and registered representatives. We have extensive experience in class action securities litigation, shareholder derivative litigation, and civil and criminal litigation involving allegations of fraud and misrepresentation, accounting irregularities, improper disclosure, breach of fiduciary duty, criminal investigations, and internal investigations.


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  • Represented underwriter and officers of the underwriter in a securities and Interstate Land Sales Act fraud claim (Becherer v. Adams).
  • Represented the financial officer of ProQuest in In re ProQuest Company Securities Litigation.
  • SEC Enforcement Action: Corporate Representation Regarding Alleged GAAP Accounting Irregularities
  • Represented a senior officer of CMS Energy in securities fraud and ERISA breach of fiduciary duty litigation (In re CMS Energy).
  • Represented United American Health Care and its senior officers in securities litigation.
  • Represented the CFO of a public company in a significant SEC enforcement action alleging 10b-5 and 17(a) violations in federal court in the Eastern District of Michigan
  • Defended an issuer of securities against claims by its underwriter arising out of its IPO and an underlying securities class action.
  • Defense of registered representative and investor in fraudulent transfer litigation commenced by Madoff Trustee.
  • Represented auto supplier in securities fraud investigation in New York and California.
  • Defended several issuer-defendants in related secruities actions concerning the structuring of their respective IPO's. In re Initial Public Offering Securities Litigation,
  • Defense of foreign bank in “clawback” litigation commenced by Fairfield Sentry, significant “feeder fund” to Bernard L. Madoff Investment Securities.
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