ALEX KAPLAN has developed a distinguished nationwide practice representing clients in high-stakes litigation and threatened disputes, with a particular focus on securities litigation, litigation relating to mergers and acquisitions, corporate governance issues, proxy contests, and board committee/internal investigations. Alex represents financial institutions, private equity firms, hedge funds, accounting firms, corporations, and individuals in a range of matters, and his experience has included lawsuits concerning Enron, WorldCom, stock options backdating, auction rate securities, mortgage-backed securities, sales practices concerning derivative instruments, the intersection between best execution, payment for order flow, and high-frequency trading, as well as “stock drops” following restatements and other events. Further, Alex has in-depth experience representing clients in a wide variety of mutual fund-related matters, including excessive fee actions arising under the Investment Company Act of 1940, disclosure actions under the 1933 and 1934 Acts and in connection with responses to shareholder demands on mutual fund boards.
Alex also routinely represents clients in a variety of commercial cases, including contractual disputes, bankruptcy and insolvency issues, real estate matters, and insurance products, and additionally handles regulatory investigations, including by the SEC, FINRA, the Department of Justice/U.S. Attorneys’ offices, and state regulators. Further, Alex regularly counsels private equity firms, hedge funds, and mutual funds on a variety of risk issues.
Alex’s advocacy on behalf of clients has earned him acknowledgment in industry publications. He has been recognized by, for example, The Legal 500 in Financial Services: Litigation and The Best Lawyers in America for Commercial Litigation, and The American Lawyer recently complimented Alex’s successes for multiple clients.