Peter Michael Saparoff

Practice Details

• Firm Information
  Position

  Member

  Firm Name

  Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
• Representative Cases & Transactions
  Cases

  Representative Matters: Representation of hundreds of defendants in securities class actions in all stages throughout the country.
  Representation of institutional investors in monitoring
  /or participating in virtually all securities class actions, regulatory settlements,
  other investor settlements.
  Representation of institutional investors as plaintiffs in numerous cases involving securities claims.
  Representation of mutual funds, investment advisors,
  disinterested directors in various suits alleging excessive management fees, breaches of fiduciary duty,
  other violations of the Investment Company Act of 1940. Participation in several cases where judicial decisions have established legal precedents in the area.
  Representation of an officer who signed Sarbanes-Oxley certifications with respect to numerous financial statements that were subsequently restated, in which the SEC was convinced not to take any action.
  Representation of issuers, officers, directors,
  employees in investigations relating to alleged financial fraud with respect to SEC filings, Sarbanes-Oxley certifications, shareholder reports,
  press releases.
  Trying various FINRA cases, including representation of a branch manager in a lengthy FINRA arbitration proceeding regarding alleged failure to supervise
  related charges in which the panel completely exonerated the branch manager. (The result is unique in that both the respondent broker-dealer
  individual broker (represented by other counsel) were held liable for substantial damages.)
  Ongoing experience as a FINRA arbitrator.
  Utilization of special litigation committees to have numerous derivative suits terminated at an early stage.
  Representation of issuers, officers,
  directors in investigations relating to alleged leaks to investors of negative information which was subsequently publicly disclosed.
  Representation of institutional investors who allegedly traded on information gleaned from corporate officials or securities analysts prior to the public dissemination.
  Representation of various individuals (officers, directors, venture capitalists) with respect to certain challenged trades.
  Representation of issuers
  individuals in investigations relating to trading in unregistered securities.
  Representation of issuers in investigations relating to Regulation S.
  Representation of issuers who have been victimized by short-sellers.
  Representation of investment advisors with respect to issues arising in SEC inspections.
  Representation of mutual fund account managers with respect to possible utilization of alleged investment opportunities of funds.
  Representation of investment companies in investigations relating to valuation
  pricing of portfolios.
  Representation of transfer agents
  custodians in investigations relating to various issues.
  Representation of investment companies
  advisers with respect to adequacy of compliance procedures.
  Representation of broker-dealers
  branch managers in failure to supervise investigations.
  Representation of individuals with respect to alleged violations of the Investment Company Act of 1940.
  Representation of real estate investment trusts, their officers,
  trustees in investigations relating to adequacy of loan loss reserves.
  Representation of banks with respect to adequacy of certain loan loss reserves.
  Representation of CPAs in investigations relating to a wide variety of accounting issues.
  Representation of individuals with respect to alleged prime bank schemes.