Overview

Securities law, business litigation and attorney malpractice defense are at the center of Richard Rosensweig's litigation practice. Rich represents a variety of corporate clients before federal and state courts, arbitration panels, the Securities and Exchange Commission and other securities-related organizations. He also advises directors, companies, financial services firms, investment advisers, and insurers in connection with compliance matters, including regulatory inquiries, reporting and accounting requirements and insider trading. Rich is an approved FINRA Dispute Resolution Arbitrator and is fluent in French. Rich is a Director in the Litigation group.

Representative Experience

• Representation of former outside directors of an international agricultural cooperative sued by an ERISA Plan Administrator and the Department of Labor in connection with the oversight of Plan Trustees.
• Representing sponsors and targets in going private transactions involving senior debt financing, sub-debt financing, real estate lender financing, equity financing and management roll-overs. 
• Defending public companies and their directors and officers before federal courts around the country in class actions asserting securities fraud. 
• Defending life insurers regarding sales practices used in marketing life insurance products. 
• Defending directors and officers in connection with shareholder suits asserting breach of fiduciary duty. 
• Representing shareholders in suits regarding their corporate rights. 
• Defending investment companies in shareholder class action suits and regulatory investigations. 
• Advising independent directors in connection with regulatory and internal investigations of securities law and other violations. 
• Litigating claims arising from M&A transactions.
• Defending law firms in connection with malpractice and other claims.