Securities

During periods of economic turmoil, corporations and senior executives are particularly attractive targets for government regulators and private securities plaintiffs. In times like these, experienced legal counsel is invaluable and substantial trial experience is a must. At Keker, Van Nest & Peters, we bring our trial skills to every setting in which securities problems arise, from investigations by the Securities and Exchange Commission and the Department of Justice, to class actions and shareholder derivative suits. 

Our expertise covers virtually every aspect of securities law enforcement, including revenue recognition, market timing or late trading, and the recent spate of options backdating investigations . We have handled scores of matters involving traditional areas of securities law enforcement, such as allegations of insider trading, accounting and disclosure fraud, and misbehavior by brokers and other securities professionals.

Recognitions

Chambers ranks Keker, Van Nest & Peters as one of the top securities litigation firms in the nation.

In 2010, The American Lawyer named Stuart Gasner Litigator of the Week for his win against the Securities and Exchange Commission in a stock options backdating case.

Legal 500 described the firm as "peopled with a preponderance of outstanding trial lawyers ... the team excels at representing high-level company executives in criminal trials across the waterfront of offenses including securities fraud and insider trading."

During periods of economic turmoil, corporations and senior executives are particularly attractive targets for government regulators and private securities plaintiffs. In times like these, experienced legal counsel is invaluable and substantial trial experience is a must. At Keker, Van Nest & Peters, we bring our trial skills to every setting in which securities problems arise, from investigations by the Securities and Exchange Commission and the Department of Justice, to class actions and shareholder derivative suits. 

Our expertise covers virtually every aspect of securities law enforcement, including revenue recognition, market timing or late trading, and the recent spate of options backdating investigations . We have handled scores of matters involving traditional areas of securities law enforcement, such as allegations of insider trading, accounting and disclosure fraud, and misbehavior by brokers and other securities professionals.

Recognitions

Chambers ranks Keker, Van Nest & Peters as one of the top securities litigation firms in the nation.

In 2010, The American Lawyer named Stuart Gasner Litigator of the Week for his win against the Securities and Exchange Commission in a stock options backdating case.

Legal 500 described the firm as "peopled with a preponderance of outstanding trial lawyers ... the team excels at representing high-level company executives in criminal trials across the waterfront of offenses including securities fraud and insider trading."

The DOJ's Cartel Enforcement Actions: What You Need to Know in 2017

June 21, 2017

Stuart Gasner will address policy and case developments, enforcement and other critical topics. Read more

Michael Celio Weighs In On Supreme Court's Newman Rejection

10/06/2015

Mr. Celio explains why the ruling is both surprising and disappointing. Read more

Walking the Line between Aggressive and Illegal Business Practices

08/22/2015

Stuart Gasner and his fellow panelists will address this critical topic at the CACJ's White Collar Seminar. Read more

Hackers Allegedly Pilfered Press Releases To Make $100 Million from Illegal Trades

08/12/2015

Michael Celio spoke to Bloomberg about whether these types of cases are part of a growing trend, or if they will remain rare. Read more

Michael Celio Discusses Whether Markets React to the Increasing Number of Data Breaches

08/10/2015

Securities Partner Michael Celio speaks to The Recorder about the shareholder class action MobileIron is facing related to a 2014 data breach. Read more

Securities Class Actions Report are Lower Than Average, According to Report

07/31/2015

Michael Celio discusses the variables at play, including the evolution of corporate governance. Read more

High Court's Halliburton Ruling Finally Shows Its Teeth

07/27/2015

Michael Celio commented that the U.S. Supreme Court's June 2014 Halliburton ruling showed it's going to have some teeth. Read more

Steven Ragland to speak at NACDL's 2015 West Coast White Collar Conference

06/17/2015

Steven Ragland will present Safeguarding Confidence: Ethical Strategies for Preventing and Addressing Privilege Problems Read more

Michael Celio Weighs In On High Court's Omnicare Decision

03/24/2015

The Supreme Court reversed and remanded a Sixth Circuit ruling that executives can be held responsible for opinions expressed to investors that later turned out to be false. Michael Celio spoke to Law360 about why the decision in Omnicare Inc. et al. v. Laborers District Council Construction Industry Pension Fund et al. is significant. Read more

White Collar Crime and Securities Enforcement

03/02/2015

Brook Dooley, Eric MacMichael, Matan Shacham and Katherine Lovett will cover the significant cases of 2014 and their impact. Read more

Securities Lawyers Flocking to Delaware

02/09/2015

Michael Celio provides insights as to why companies may choose to litigate in Delaware. Read more

White Collar Crime and Securities Enforcement: 2014 in Review

01/23/2015

Brook Dooley, Eric MacMichael and Katherine Lovett's article highlights some of 2014’s key developments in white collar practice, along with cases to watch in 2015. Read more

Justice System for White-Collar Defendants is Flawed Top to Bottom

11/17/2014

White-collar criminal defense and civil trial lawyer Stuart Gasner discusses how the justice system is skewed against the accused. Read more

Judge Mulls Insider Trading Argument in Allergan Takeover

10/31/2014

Michael Celio comments on why Allergan's approach may be considered extremely aggressive. Read more

Keker & Van Nest Named Top Litigation Boutique

10/15/2014

One name mentioned by virtually everyone the Daily Journal spoke to was Keker & Van Nest. Lawyers at some of the best firms in California said they model themselves after the litigation powerhouse. Read more

Venture Capital Firm Liable For "Aiding And Abetting" Breach Of Fiduciary Duty

07/30/2014

Stuart Gasner discusses a recent California Court of Appeals case which underscores the dangers that await venture capital firms which fund companies in the midst of internal disputes. Read more

Keker Scores Circuit Win for Intuitive Surgical

07/17/2014

Michael Celio and Cody Harris defeat securities class action. Read more

Ninth Circuit Affirms Intuitive Win In Investor Class Action

07/16/2014

The Ninth Circuit affirmed Intuitive Surgical Inc.'s win in a securities fraud class action. Read more

Ninth Circuit Publishes Rare Securities Opinion

07/16/2014

Michael Celio and Cody Harris secured a complete vindication for Intuitive Surgical Inc., a leading manufacturer of cutting-edge robotic surgery devices, from an aggressive securities class action. Read more

Plaintiffs Drop Securities Suit Against Biofuel Maker

06/18/2014

With help from Michael Celio and Laurie Mims, Emeryville-based Amyris Inc. has shaken off a securities suit alleging executives misled the market about the company's success developing a plant-based fuel alternative. Read more

Keker & Van Nest Protects Renewable Products Company Amyris from Frivolous Securities Class Action

06/17/2014

Judge’s order overwhelmingly favors Amyris, plaintiff abandons case. Read more

Defending a Charles Ponzi or Bernie Madoff

04/12/2014

Elliot Peters will be a featured panelist at the California Bar's Eighteenth Annual Statewide Ethics Symposium. Read more

Keker & Van Nest Wins Sanctions from SEC

10/02/2013

On behalf of a former Silicon Valley executive accused of accounting fraud, Keker & Van Nest has won a round in their battle with the Securities and Exchange Commission, landing sanctions against the commission for dragging its heels in discovery. Read more

Section 17(a) of the Securities Act of 1933: Unanswered Questions

07/08/2013

Brook Dooley and Matan Shacham provide an overview of Section 17(a), the key differences between Section 17(a) and Rule 10b-5, and significant unanswered questions regarding Section 17(a). Read more

Trends in White Collar Crime and Securities Enforcement

03/13/2013

Brook Dooley and Eric MacMichael will discuss cases involving FCPA enforcement, antitrust, public corruption, intellectual property theft, insider trading, and securities enforcement in connection with the financial crisis. Read more

Bet-The-Company Lawyer Steps In Between Government, S&P

02/08/2013

John Keker and Elliot Peters were hired to defend S&P, sued by the U.S. Justice Department for allegedly inflating ratings on mortgage-backed securities to boost its own profit. The U.S. seeks as much as $5 billion in penalties. Read more

Premium Defense for Your VIP Client: Avoiding Pitfalls and Combatting Perceptions

11/15/2012

Elliot Peters will speak at the National Association of Criminal Defense Lawyers' annual meeting. Read more

23 Keker & Van Nest Attorneys Named "Best Lawyers"

08/28/2012

The firm receives top rankings for bet-the-company, intellectual property, criminal defense, securities, commercial, legal malpractice, and appellate litigation. Read more

Former Citigroup Manager Cleared in Mortgage Securities Case

07/31/2012

Keker & Van Nest defeats the SEC in this high-profile case. Read more

Michael Celio Provides Insights on Securities Litigation Trends

July 2012

The panel of experts discussed the SEC's criticism of defense and in-house counsel for impeding agency investigations, trends in mergers and acquisition litigation, and Canada’s potential as a forum for securities class actions. Read more

Keker & Van Nest Wins Complete Victory for Cutting-Edge Surgical Robotics Company

05/24/2012

Michael Celio and Robert Van Nest defeat securities class action. Read more

Michael Celio Discusses the Latest Cases, Trends to Impact Securities Litigation

February 2012

Mr. Celio provides insight on Judge Rakoff's SEC decision, the impact of Chinese reverse mergers as well as the U.S. Supreme Court's decisions in Morrison and Janus. Read more

White Collar Crime Trends

10/27/2011

Stuart Gasner sheds light on why digital communications are increasingly getting executives in legal hot water, and provides practical advice on how to avoid this growing trend. Read more

Litigating Against the SEC and Other Government Agencies

09/21/2011

Stuart Gasner to speak before the Bar Association of San Francisco. Read more

17 Partners Selected for 2012 Best Lawyers in America

09/01/2011

Keker & Van Nest partners were recognized in more than ten categories, including bet-the-company litigation, criminal defense, and intellectual property litigation. Read more

Keker & Van Nest Partner Stuart Gasner Wins Appeal on Behalf of Former ESSI Exec

07/20/2011

“The decision marks a fitting end to this chapter of SEC enforcement — an enforcement program that went too far in my opinion,” Stuart Gasner told Law360. Read more

Stuart Gasner Provides Insight on Wall Street Insider Trading Case

02/18/2011

Reuters asked Mr. Gasner to comment on the trial of Galleon Group hedge fund founder Raj Rajaratnam. Read more

Stuart Gasner Argued Before the Eighth Circuit in Stock Options Backdating Case

01/11/2011

Judge expressed skepticism over whether federal regulators could hold Mr. Gasner's client liable for failing to tell investors that his company issued backdated stock options to executives. Read more

Stuart Gasner Named Litigator of the Week

02/18/2010

The American Lawyer highlighted Mr. Gasner’s win against the SEC in a criminal options backdating case. Read more

Keker & Van Nest Celebrates Win Against the SEC

02/16/2010

Though plaintiff lawyers continue to achieve great success for investors who claim they were defrauded by the practice, many judges around the nation look skeptically at government efforts to treat stock options backdating as a civil or criminal offense. Read more

SEC Drops Case Against Software Executives

12/20/2005

Federal regulators back down after a five-year legal battle. Read more