Investment Management Litigation

Mutual funds continue to face increased scrutiny from government regulators, and having a partner who understands those challenges can make or break your bottom line. Goodwin is one of only a few firms that combines a nationally-recognized investment management counseling and transactional practice with a pre-eminent mutual fund litigation practice. This collaboration enables us to defend our investment management clients in all phases of litigation with a thorough understanding of their businesses, the markets in which they participate, and the complex regulatory environment in which they operate.

We have deep and broad experience working with all types of participants in the investment management industry, including investment advisers, mutual funds, independent trustees, retirement plan sponsors and other service providers. Our clients range from many of the largest and most prominent industry participants managing trillions of dollars in assets to smaller entities and individuals. We have successfully terminated a number of lawsuits on dispositive motion before plaintiffs can escalate costs and divert resources and attention through lengthy discovery. In other instances, we have litigated disputes to a strategic advantage from which we have been able to negotiate favorable resolutions, including walkaways and settlements for less than future litigation costs.

Representative Matters

  • We represent clients in proceedings arising under the Investment Company Act of 1940, the Investment Advisers Act of 1940, other federal securities laws, ERISA, state law and other regulatory regimes.
  • We handle class actions, shareholder derivative suits and private disputes in federal and state trial and appellate courts throughout the country.
  • We guide our clients through regulatory investigations and enforcement actions by the DOJ, SEC, DOL, CFTC, FINRA, various state attorneys general, state securities regulators and federal and state banking authorities.
  • We investigate shareholder demands on behalf of fund boards and their independent trustees or special committees.
  • Our litigation strategies have resulted in a number of important precedents under the Investment Company Act, other securities laws and ERISA that protect both our clients and their industry peers.
Related Practices

Investment Management

The investment management industry is expected to continue to experience a rapid pace of change in the coming years. New investment strategies, shifting demographics and investor needs, the influence of financial technology, expense trends and increasing regulatory pressures are all proving to be industry game changers. As these extraordinary challenges for the industry continue, Goodwin is uniquely positioned to provide comprehensive and innovative solutions as market participants prepare for these changes, and our team can help clients capitalize on new opportunities and navigate the growing marketplace challenges.
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Financial Industry

From acquiring a company to raising public or private funds, we provide strategic and tactical advice, a range of pragmatic options, and bottom-line results. We do more than just help our clients survive the current challenges; we partner with them to find the best solutions and identify new business opportunities.

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ERISA Litigation

As retirement plans have come to hold an increasing proportion of the nation’s wealth, the number of lawsuits claiming violations of the Employee Retirement Income Security Act of 1974, as amended (“ERISA”) has mushroomed. With our expertise in financial services and capital markets, we are uniquely positioned to defend ERISA litigation that challenges the way products and services within the employee benefit plan marketplace, including retirement, life, and health, are managed and administered.
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Related Practices
Investment Management
The investment management industry is expected to continue to experience a rapid pace of change in the coming years. New investment strategies, shifting demographics and investor needs, the influence of financial technology, expense trends and increasing regulatory pressures are all proving to be industry game changers. As these extraordinary challenges for the industry continue, Goodwin is uniquely positioned to provide comprehensive and innovative solutions as market participants prepare for these changes, and our team can help clients capitalize on new opportunities and navigate the growing marketplace challenges.
Read More
Financial Industry

From acquiring a company to raising public or private funds, we provide strategic and tactical advice, a range of pragmatic options, and bottom-line results. We do more than just help our clients survive the current challenges; we partner with them to find the best solutions and identify new business opportunities.

Read More
ERISA Litigation
As retirement plans have come to hold an increasing proportion of the nation’s wealth, the number of lawsuits claiming violations of the Employee Retirement Income Security Act of 1974, as amended (“ERISA”) has mushroomed. With our expertise in financial services and capital markets, we are uniquely positioned to defend ERISA litigation that challenges the way products and services within the employee benefit plan marketplace, including retirement, life, and health, are managed and administered.
Read More

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