Douglas A. Rappaport is a litigator focusing on complex commercial and securities disputes. In recent years, he has served as counsel in trials involving disputes over secured assets, partnership interests, securities fraud, breaches of fiduciary duty, trade secrets, options backdating, tax appraisals and the fraudulent sale of securities. Doug has won numerous dispositive motions and appeals in both state and federal court.On a daily basis, Doug advises clients on matters of corporate governance and regulatory compliance.
He also provides advice on activist investing issues, devising strategies regarding the solicitation of board seats, the displacement of existing corporate management and contests for corporate control.Doug also regularly represents investment funds, corporations and individuals in regulatory and internal investigations. His experience extends to matters before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and state and foreign securities agencies.
Doug litigates disputes involving:
- Fiduciary obligations
- Securities fraud
- Breach of contract
- Limited partnership interests
- Insider trading
- Investor disputes
- Derivative claims
- Insurance issues
- Bond defaults
- Contract disputes.
- Assists with internal investigations and investigations related to regulatory inqu
- Serves as a trusted advisor on a range of compliance, fiduciary and general business issues.
- Litigates complex commercial and securities disputes.
- Represented activist investment funds in books and records actions in Delaware in connection with a successful tender offer.
- Represented an activist investment fund in a books and records action in Florida in connection with a successful proxy contest.
- Represented an investment fund in an insider trading investigation by the SEC’s Boston office regarding publicly traded securities in connection with a merger.
- Represented a multibillion-dollar hedge fund in connection with an investigation by the New Zealand Takeovers Panel of a partial tender offer.
- Represented a NYSE-traded company in connection with an insider trading investigation by the Utah office of the SEC.
- Advised an investment fund through trial in a case alleging breach of fiduciary duty in connection with a shareholder dispute.
- Represented activist investors in enjoining an announced merger of a public company with a company controlled by an interested insider.
- Represented an investment fund in connection with an action involving securities claims stemming from alleged misrepresentations in connection with the exchange rate on warrants.
- Defended an activist investor against a federal action taken by a public company prior to its annual meeting to prevent the client’s candidacy for the company’s board of directors.
- Represented multiple hedge funds in insider trading investigations by the SEC in New York, Los Angeles, San Francisco, Chicago and numerous other jurisdictions.
- Served as counsel to an investment fund adviser in an insider trading and manipulation investigation by the SEC’s Boston office related to the client’s trading of securities in the context of a merger.
- Represented principals of a public company in a derivative class action in Delaware stemming from alleged breaches of duty of loyalty.
- Represented the board of a public company in a derivative class action in Utah stemming from spring-loaded options.
- Represented a global investment bank in connection with class actions against underwriters in the U.S. securities markets alleging price fixing of underwriting fees in connection with initial public offerings.
- Member, board of directors, ArsNova, a non-profit theatre and arts organization in New York City; chair of governance committee.
- Member, New York City Bar Association.
- Member, board of directors, Community Basketball.
- J.D., Harvard Law School, cum laude, 1991
- B.A., University of Pennsylvania, summa cum laude, 1987
- U.S.D.C., Southern District of New York
- New York
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