ALEX KAPLAN represents clients throughout the United States to solve their most complex challenges, which often involve high-stakes litigation and investigations, threatened disputes, and bet-the-company crises. Alex’s clients include private equity and venture capital firms (or their portfolio companies), hedge funds, mutual funds (or their advisers), public and private companies, executives, and boards. He has a particular focus on securities litigation, litigation relating to mergers and acquisitions, corporate governance issues, proxy contests, and board committee/internal investigations. Alex’s experience encompasses the major securities litigation events across the country during the past 20+ years, including 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. He also has obtained wins for his clients in disputes over transactions, governance, and stockholder agreements, with actions in Delaware, New York, California, Texas, and Puerto Rico. Further, Alex has in-depth experience with the mutual fund industry, comprising successful defenses of excessive fee actions, disclosure lawsuits under the federal securities laws, and shareholder demands on mutual fund boards.
Alex additionally represents clients in a variety of commercial cases such as contractual disputes, bankruptcy and insolvency issues, real estate matters, and insurance products, and also handles internal and regulatory investigations by the SEC, FINRA, the Department of Justice/U.S. Attorneys’ offices, and state regulators. Further, he regularly counsels numerous private equity and venture capital firms, hedge funds, and mutual funds on a variety of risk issues.
Alex’s advocacy for his clients has been recognized by, for example, The Legal 500 in Financial Services: Litigation, and The Best Lawyers in America for Commercial Litigation. The Daily Journal highlighted one of Alex’s recent securities litigation wins as a “Top Defense Verdict,” and The American Lawyer has complimented several of his successes.