Bret serves as a trusted advisor to public companies and companies in the financial services industry in litigation matters and regulatory investigations. His understanding of the federal securities laws and regulations and experience with Delaware corporate law allow him to steer deftly through complex crises and disputes — sometimes enabling clients to avoid litigation or regulatory action. As a litigator, Bret has served as a lead trial counsel in both state and federal court actions, as well as numerous mediations and arbitrations. He has also successfully represented clients on appellate matters.
Bret practices in the firm’s litigation section, and has significant experience representing public companies, including their officers and directors, and clients in the financial services industry, including:
Hedge funds and fund managers;
Other Investment Advisers (including managers of mutual funds, general partners of private equity funds, and wealth management firms) and their officers, directors, principals, and employees;
Broker-dealers, including their officers and/or principals and registered representatives;
Investment bankers and other financial advisors;
Transfer agents; and
Issuers and distributors of variable annuity contracts.
Bret has represented these individuals and entities in various contexts, including SEC investigations, FINRA inquiries and investigations, Department of Justice investigations, investigations by the Massachusetts Securities Division, arbitrations, and in private civil litigation (on both the plaintiff side and defense side) at both the trial court and appellate court level.
In addition to his substantial experience representing clients in connection with the federal securities laws, Bret has also successfully defended clients in cases brought pursuant to the Federal False Claims Act.
Bret frequently advises public and private companies, and their officers, directors, and employees, in securities litigation and in SEC and internal investigations. In addition, Bret frequently advises officers, directors, and public and private companies on corporate law, corporate compliance, and risk management issues. As part of this representation, Bret has helped establish, design, and revise corporate compliance programs and policies, and has counseled dozens of clients on their records management obligations.
Articles in the National Law Review database by Breton Leone-Quick