Jump to Navigation | Jump to Content
American Bar Association


Securities Litigation Committee


The Securities Litigation Committee, whose diverse membership includes attorneys from both the plaintiff and defense perspective, corporate counsel, and academicians, strives to be an invaluable resource to those practicing or interested in securities litigation, arbitration or regulatory enforcement matters.

Our website provides information on a variety of securities-related topics, including practical tools and discussion of the latest issues in the securities field. The Committee's quarterly publication, the Securities Litigation Journal, which includes articles on matters of new or continuing interest in the securities area authored by notable practitioners and academics, is distributed to the Committee's membership.

The Committee also publishes an annual survey of Broker Dealer Litigation which is made available to Committee members and at the annual Securities Industry Association Compliance and Legal Conference.

Our members can also benefit from educational programs sponsored by the Committee and presented through the ABA by live audio teleconference, regional CLE meetings across the country, and panel discussions at ABA conferences.

Join this Committee


Securities Litigation Committee Update: 2016–2017 Planning

2016–17 Planning
We are in the beginning stages of planning our programming for 2016–17.  The primary mission of our Committee is to generate benefits to our members and other practitioners. We do this in a number of ways from podcasts to the Journal to Regional meetings and more.  If you have any ideas for topics you would like to see addressed or just want to learn how you can get involved, please reach out to us directly.

The primary mission of our Committee is to generate benefits to our members and other practitioners. We do this in a number of ways from podcasts to the Journal to Regional meetings and more.  If you have any ideas for topics you would like to see addressed or just want to learn how you can get involved, please reach out to us directly.

The 2017 Section of Litigation Annual Conference will be in San Francisco, CA on May 2–5, 2017, at the Hyatt Regency. We hope you will make plans to attend.  If you have an idea for a program, let us know.  Proposals must be submitted no later than Monday, August 29, 2016.  We plan to submit multiple proposals of interest to our members and would to get your thoughts on the same. For the 2017 Section Annual Conference, Section leadership is asking for creative, engaging presentations—thinking outside the box of the traditional moderator/panelist format—with a heavy emphasis on practical skills, recent hot topics or trends in litigation, and programs geared toward young lawyers. The overall theme for the envisioned program tracks is the progression of litigation: from pre-suit demands, to initiation of litigation, motions practice, discovery, mediation/ADR, trial, and appeal.

Helen Kim and Josh Jones

Securities Litigation Committee Seeks Input on Resolutions

The Securities Litigation Committee is seeking input from its members regarding resolutions for potential submission to the ABA House of Delegates. The Section of Litigation is the voice of litigators in this country and is responding to our members' needs and concerns by working with the ABA Resource Committee to develop resolutions that result in ABA policy. These resolutions can and have made a difference in Congress and throughout the world. Examples of recent resolutions sponsored by the Section of Litigation and adopted by the House of Delegates include the adoption of a Model Act Governing the Representation of Children in Abuse, Neglect, and Dependency Proceedings to a Protocol on Court-to-Court Communications in Canada-U.S. Cross-Border Class Actions. If there is a topic of interest to you as a litigator, we would like to hear from you.

A great summary of the use, implementation, and impact of the House of Delegates’ resolutions is available at Report on Impact of House of Delegates’ Resolutions, Videos, and Archiving.

If you have an idea for a proposed resolution, an issue of interest to your practice, or a concern you would like to see addressed, please contact Helen Kim or Josh Jones.

Get Involved

Involvement in our committee is a great way to keep your practice up-to-date and get more involved in the Section of Litigation. In addition to seeking contributions to our newsletter and website, we are looking for help with our subcommittees. If you think you might be interested in contributing an article, news & development, or case note; joining a subcommittee; or getting involved in leadership, please let us know.

Securities Litigation Winter 2016 Newsletter

The latest edition of the Securities Litigation newsletter is now available.

Message from the Chairs

Welcome to the Securities Litigation Committee’s webpage.  We hope that you will visit regularly to find the latest information, news, and developments that affect your practice.

The Securities Litigation Committee is housed under the ABA’s 60,000-member Section of Litigation, the premier association for lawyers involved in litigation and trial practice. Joining the Securities Litigation Committee is free to all Section members, and we encourage you to do so if securities litigation is a part of your practice or if you have any interest in learning more about the subject. 

The benefits of becoming a member of the Committee are substantial.  The Committee’s paramount goal is to provide resources to those practicing or interested in securities litigation, arbitration or regulatory enforcement matters.  We do this by the following means:  (1) providing practitioners with a quarterly journal highlighting recent developments and providing insightful commentary and articles on significant issues and trends, (2) offering programming to members and non-members at the ABA Annual Meeting, the Section of Litigation Annual Conference, and stand-alone programs and regional conferences throughout the country, (3) creating and supporting Sound Advice podcasts and Committee Roundtables on matters of interest, (4) providing updates and breaking news via this webpage and our Committee listserv on emerging and developing topics, (5) creating and publishing topical books through the Section’s publishing arm, and (6) publishing an annual survey of broker dealer litigation.

Though becoming a member requires no commitment, the opportunities to become involved are significant for practitioners with any level of experience from junior associates to the most seasoned litigators.  In addition to subcommittees involved in managing the journal, the website, and publication of substantive books, the Securities Litigation Committee currently has nine active subcommittees covering the gamut of related substantive topics, from Accounting Issues to White Collar.  Involvement in both these subcommittees and Committee as a whole provide members with opportunities to publish and to participate in all of the programming described above.  The Committee is as strong as its membership is active, and we encourage anyone with an interest in contributing to step forward. 

In addition, membership in the Committee allows for attorneys to connect with others that share their focus. The opportunity to network with likeminded professionals from all over the United States through our bimonthly conference calls, the ABA Annual Meeting, the Section Annual Conference, the regional conferences, and participation in programming is unparalleled and one of the most significant benefits of membership.

We look forward to working with the current Committee leadership, all of the Committee’s members, and those that will be joining soon. Please do not hesitate to contact either of us should you have any suggestions, questions, or concerns.

Helen B. Kim
Joshua D. Jones
Cochairs, Securities Litigation Committee


Our active subcommittees include:

  • Accounting Issues
  • Book and Other Publications
  • Class Actions
  • Derivative Suits
  • M&A/Proxy Litigation
  • SEC Enforcement
  • Securities Arbitration


  • Securities Litigation Journal Editors
  • Self-Regulatory Organizations
  • Structured Financial Products, Mutual & Hedge Fund Litigation
  • White Collar & Corporate Investigations
  • Website and Social Media Editors

Find contact information for committee and subcommittee chairs:

Navigant Partners

Sumon Mazumdar

Oakland, CA

John Montgomery

New York City, NY


Securities Litigation Leadership

Cochairs Web Editors Journal Editors

Joshua D. Jones

Birmingham, AL

Helen B. Kim

Los Angeles, CA

Jonathan L. Frank

New York, NY

Patrick G. Rideout

New York, NY

Kathryn Dietrich Perreault

Birmingham, AL

Noah Katsell

San Diego, CA

Laura J. O'Rourke

Dallas, TX

Breton Leone-Quick

Boston, MA

Jessica Valenzuela Santamaria

Palo Alto, CA