David K. Momborquette focuses his practice on complex commercial litigation and regulatory matters, primarily for clients in the financial services industry. He has extensive experience in private securities litigation and securities regulatory matters, including investigations by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), US Attorneys’ offices, New York Stock Exchange and state attorneys general offices. David also has experience litigating cases before industry arbitration panels and in federal and state courts.
In addition, David handles internal investigations, investor disputes and class action litigation. He regularly counsels financial services companies on regulatory issues relating to insider training, market manipulation, SEC examinations, and securities law and regulatory issues of similar nature.
David is a frequent author on securities regulations. He also lectures on compliance training and presents on regulatory compliance and enforcement issues. While in law school, David served as the note editor of the Boston University Law Review.
Represented a chairman in securities class action, two separate private actions, as well as certain government inquiries and companies’ bankruptcy all arising out of accounting irregularities at the company*
Represented a limited partnership and certain individuals in securities class actions arising from roll-up of real estate limited partnerships*
Represented a major interdealer brokerage firm in various arbitrations and civil litigations arising out of a global corporate raid by a competitor, including a four-and-a-half month jury trial*
Represented an investment manager in connection with wind-up of funds and related US- and Cayman Island-based litigation, as well as state and federal regulatory investigations*
Represented an investment manager and related entities in connection with investor suits arising from wind-up of investment*
Represented several investment managers in connection with regulatory investigations into trading activities*
Represented an investment manager in connection with various matters arising from the theft of investor assets by employee of investment manager*
Represented an investment manager and offshore fund in connection with fraudulent conveyance claims brought by supplier of portfolio company*
Represented an investment manager in connection with a challenge to a merger involving a portfolio company*
Represented a group of investment managers and related entities in fraudulent conveyance actions arising from leveraged buyout transactions*
Counseled an investment fund in connection with civil action seeking to enjoin proxy solicitation*
Counseled a private equity fund in connection with civil litigation arising from a “go shop” provision of a merger agreement*
Counseled a private equity fund in connection with shareholder action brought to enjoin a proposed merger*
Counseled a securities firm in connection with civil action arising from hiring of CDO group*
Counseled certain investment funds in connection with SEC investigation into certain private placement transactions*
Counseled certain officers and directors in connection with securities class action and private civil action*
Counseled Kaydon Corporation in connection with fraudulent conveyance action arising from a series of corporate transactions involving now bankrupt entity*
Counseled certain officers and directors in connection with breach of fiduciary duty claims arising from corporate merger*
Counseled an independent consultant to New York Stock Exchange retained in connection with review of the NYSE’s rules, practices and procedures applicable to floor members*
Counseled officer and director in connection with securities class action and derivative action arising out of the fraudulent trading activity of government bond trader*
Counseled NASDAQ securities trader in connection with SEC investigation into certain market making activity*
Counseled a special committee of outside directors of Fine Host in connection with an internal investigation, securities class actions and government inquiries arising out of accounting irregularities at the company. Also represented former officer in connection with shareholder class action and bondholder action*
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