Dennis Lawson represents public companies and their officers and directors as well as broker-dealers, investment advisers, and investment companies and their boards in investigations and proceedings before the Securities and Exchange Commission (SEC), FINRA, and various state securities regulators, as well as in securities-related litigations in state and federal court and in arbitrations.
He also has extensive experience in conducting internal investigations in the public company and mutual fund areas.
Mr. Lawson has represented individuals and corporations in SEC and internal investigations relating to stock option grants. He has represented individuals and corporations in SEC, DOJ, and internal investigations relating to stock loan transactions, insider trading and Foreign Corrupt Practices Act matters. He has represented broker-dealers and individuals in SEC and FINRA investigations relating to short sale transactions and Regulation SHO as well as PIPE transactions. He has also represented investment advisers in SEC investigations of allegations of fraud and has also defended broker-dealers in FINRA arbitration proceedings involving allegations of unauthorized trading, unsuitability, and fraud.
Mr. Lawson has represented clients in several significant matters. He assisted in the representation of a leading mutual fund adviser before the state attorneys general in Oregon, Maine, Illinois, Texas, New Mexico and Nebraska and in related litigation regarding investments made by those respective states’ 529 College Savings Plans in investment products offered by the firm. He assisted in the representation of i2 Technologies, Inc. in an SEC proceeding involving issues related to revenue recognition in the context of enterprise software, and officers of Waste Management Inc. in securities class actions and related actions. He was also involved in the defense of MAXXAM Inc. in an action filed by the Office of Thrift Supervision resulting from a failed savings and loan. MAXXAM was completely vindicated in a decision handed down by the administrative law judge.
Mr. Lawson is also a contributor to Mutual Fund Litigation and Insurance Guide (LexisNexis, 2013), a book that examines the legal risks faced by the mutual fund industry, the legal bases for potential liability of mutual fund industry participants, the key precedents from important regulatory enforcement actions and civil litigation against the industry, and the critical insurance products and approaches that are available to mitigate these risks.