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.
More Legal and Business Bylines From Breton Leone-Quick
- SEC Uses Data Analytics to Identify and Punish Late Form Filers - (Posted On Friday, September 12, 2014)
- New York Federal Court Limits Scope of SEC Disgorgement In Case Involving Failure to Disclose Beneficial Interests - (Posted On Monday, August 04, 2014)
- Two Observations From the SEC’s First Settlement Under its Municipalities Continuing Disclosure Cooperation Initiative - (Posted On Wednesday, July 09, 2014)
- Five Questions and Answers About the Second Circuit’s SEC v. Citigroup Decision - (Posted On Tuesday, June 10, 2014)
- The Case That Could Significantly Disrupt How Companies Manage Their Gift Card Programs and Could Create Billions of Dollars in Exposure - (Posted On Tuesday, May 20, 2014)
- Specific Steps Broker-Dealers and Investment Advisers Should Take in Response to the SEC’s Cybersecurity Initiative (Securities and Exchange Commission) - (Posted On Saturday, April 26, 2014)
- Securities and Exchange Commission (SEC) Enforcement Staff’s Investigations of Financially Stressed Municipal Issuers - (Posted On Thursday, April 03, 2014)
- Proxy Season Litigation Primer: Defending Shareholder Suits to Enjoin Annual Meetings for Allegedly Inadequate Disclosures Concerning Equity Compensation Plans - (Posted On Thursday, March 20, 2014)