Christopher F.Robertson
Partner
Securities & Fiduciary Duty Litigation
crobertson@seyfarth.com
“I am a securities litigator handling complex financial matters, including regulatory investigations, litigation, compliance, and counseling.”
More About Chris
Securities litigation and government investigations immediately put tremendous stress on clients, requiring the diversion of resources at the highest levels within the organization. Similarly, an internal whistleblower claim alleging misconduct or fraud can become a major distraction that can get away from clients if they do not have a defined process in place to handle such matters. As the chair of the firm's Whistleblower practice for more than 15 years, Chris has the depth of experience to educate and guide clients through a process that is often very unfamiliar—plus a successful track record of litigating and trying those cases.
Chris' clients include banks and broker-dealers, investment advisors, public and private companies, and their officers and directors. He has handled government investigations, securities class action litigation, merger litigation, regulatory proceedings, arbitrations, and federal and state administrative matters. Chris has handled cases and investigations across all industries, working with clients on the investigative, regulatory, employment, and litigation aspects of securities, financial institution, accounting, trading and whistleblower claims.
As a former senior counsel in the Division of Enforcement at the Securities and Exchange Commission, Chris has unique experience investigating and litigating cases with the government, followed by years of experience defending those investigations and cases.
In nearly three decades of practice, Chris has handled complex financial and securities matters, investigations, compliance matters, disciplinary proceedings involving FINRA, the Securities and Exchange Commission, the Commodities Futures Trading Commission, the Federal Reserve, Federal Trade Commission, and state regulatory agencies. He has handled whistleblower matters involving clients in financial services, technology, pharmaceuticals, consumer goods, health care, staffing, and defense, among others. Recently, he has handled litigation and investigations involving cryptocurrency and blockchain, including matters involving Initial Coin Offerings (ICO), cryptocurrency mining businesses and cryptocurrency exchanges. His experience allows him to quickly assess the particular concern being raised, and work with the client on the investigative component, as well as litigation strategy.
Chris works with clients to establish policies and procedures that ideally minimize risk and exposure before matters arise, investigations are commenced, or litigation ensues. By being proactive, clients are better prepared to handle sensitive and complex matters when they arise, which builds in both efficiency and an immediate strategic direction. This includes review of policies, training, and updates as the law changes.
Chris enjoys collaborating with his Seyfarth colleagues on novel matters involving securities, compliance, litigation, and employment, which all coalesce as part of the Whistleblower practice at the firm. Whether the matter involves class actions, merger litigation, closely held company disputes, or general commercial matters, the ability to bring the right resources to the table has been a huge benefit. Chris' ability to work with some of the most sophisticated and cutting-edge companies is a direct offshoot of that ability.
Chris' clients include banks and broker-dealers, investment advisors, public and private companies, and their officers and directors. He has handled government investigations, securities class action litigation, merger litigation, regulatory proceedings, arbitrations, and federal and state administrative matters. Chris has handled cases and investigations across all industries, working with clients on the investigative, regulatory, employment, and litigation aspects of securities, financial institution, accounting, trading and whistleblower claims.
As a former senior counsel in the Division of Enforcement at the Securities and Exchange Commission, Chris has unique experience investigating and litigating cases with the government, followed by years of experience defending those investigations and cases.
In nearly three decades of practice, Chris has handled complex financial and securities matters, investigations, compliance matters, disciplinary proceedings involving FINRA, the Securities and Exchange Commission, the Commodities Futures Trading Commission, the Federal Reserve, Federal Trade Commission, and state regulatory agencies. He has handled whistleblower matters involving clients in financial services, technology, pharmaceuticals, consumer goods, health care, staffing, and defense, among others. Recently, he has handled litigation and investigations involving cryptocurrency and blockchain, including matters involving Initial Coin Offerings (ICO), cryptocurrency mining businesses and cryptocurrency exchanges. His experience allows him to quickly assess the particular concern being raised, and work with the client on the investigative component, as well as litigation strategy.
Chris works with clients to establish policies and procedures that ideally minimize risk and exposure before matters arise, investigations are commenced, or litigation ensues. By being proactive, clients are better prepared to handle sensitive and complex matters when they arise, which builds in both efficiency and an immediate strategic direction. This includes review of policies, training, and updates as the law changes.
Chris enjoys collaborating with his Seyfarth colleagues on novel matters involving securities, compliance, litigation, and employment, which all coalesce as part of the Whistleblower practice at the firm. Whether the matter involves class actions, merger litigation, closely held company disputes, or general commercial matters, the ability to bring the right resources to the table has been a huge benefit. Chris' ability to work with some of the most sophisticated and cutting-edge companies is a direct offshoot of that ability.
- JD, Washington & Lee University School of Law
Cum laude
Law Review
Burks Scholar
Outing Club - AB, Harvard University
HistoryCum laude
Varsity Track
Rugby Club
DU Club vice president
- Massachusetts
- New York
- US Supreme Court
- US Court of Appeals, First Circuit
- US Court of Appeals, Eleventh Circuit
- US District Court, District of Massachusetts
- US District Court, Eastern District of New York
- US District Court, Southern District of New York
Related Services
- Appellate
- Blockchain Technologies
- Capital Markets
- Class & Collective Actions
- Commercial Litigation
- Consumer Class Actions
- Corporate Counseling & Governance
- Derivatives
- EB-5 Immigrant Investment
- Impact & Sustainability
- Financial Products & Technology
- Institutional Investors
- Securities & Fiduciary Duty Litigation
- False Claims, Whistleblower, and Internal Investigations
- White Collar Defense & Investigations
- Transactional Risk Insurance
Related Key Industries
Related News & Insights
-
Blog Post
Oct 30, 2024
Decoding Appeals, Episode 3: Life Cycle of a SCOTUS Appeal
-
Legal Update
Feb 15, 2024
Now Available! 2024 Commercial Litigation Outlook
-
Media Mentions
02/09/2024
Chris Robertson Discusses Significance of Murray v. UBS Securities Case in Four Media Outlets
-
Attorney Publication
12/04/2023
Chris Robertson and Owen Wolfe Write on How SCOTUS Case Impacts Whistleblower Retaliation Standards in Today’s General Counsel
- Recognized Attorney for Securities Litigation: Defense, The Legal 500 (Legalese Ltd.) (2019, 2023-2024)
-
Boston Magazine's "Top Lawyers" List (Metro Corp.) (2023)
- Listed in Massachusetts Super Lawyers for Business Litigation (Thomson Reuters) (2009)
- Listed in Massachusetts Super Lawyers “Rising Stars” for Business Litigation (Thomson Reuters) (2005)
- American Bar Association, Litigation Section
- Association of Securities & Exchange Commission Alumni
- Boston Bar Association, Securities Law Committee former co-chair
- Financial Industry Regulatory Authority (FINRA) arbitrator
- Massachusetts Bar Association
- Securities and Exchange Commission Historical Society, New England chapter founding chair
- Co-Author, "Trial Outlook," 2024 Commercial Litigation Outlook, Seyfarth Shaw LLP (February 2024)
- Co-Author, "Supreme Court Ruling Could Be a Game-Changer for Whistleblower Retaliation Standards," Today's General Counsel (December 4, 2023)
- Co-Author, "Murray v. UBS: The Second Circuit Creates a Circuit Split on Whistleblower Claim Standards," Legal Update, Seyfarth Shaw LLP (August 11, 2022)
- Co-Author, "The MAE Clause Faces Off With COVID-19 in the Delaware Courts—What Comes Next?," Legal Update, Seyfarth Shaw LLP (July 8, 2020)
- Co-Author, "SEC Commissioner Peirce Proposes Three Year 'Safe Harbor' For Tokens," Legal Update, Seyfarth Shaw LLP (February 11, 2020)
- Co-Author, "Chancery Court Finds Merger Agreement’s 'No Use' Provision Preserves Seller’s Privilege," One Minute Memo, Seyfarth Shaw LLP (June 4, 2019)
- Co-Author, "Securities and Corporate Governance Litigation Quarterly" Newsletter, Seyfarth Shaw LLP (June 13, 2017)
- Co-Author, "Supreme Court Limits SEC Disgorgement Orders With Five-Year Statute of Limitations," One Minute Memo, Seyfarth Shaw LLP (June 7, 2017)
- Co-Author, "SEC Whistleblower Awards Continue, Including to Employees Who Provide Information After an Investigation Has Begun," Workplace Whistleblower, Seyfarth Shaw LLP (March 11, 2016)
- Co-Author, "Dodd-Frank Bounties Are Alive and Well - Both SEC and CFTC Issue Awards," Workplace Whistleblower, Seyfarth Shaw LLP (December 21, 2015)
- Co-Author, "Second Circuit Creates Split Regarding Definition of Whistleblower Under Dodd-Frank’s Anti-Retaliation Provisions," Workplace Whistleblower, Seyfarth Shaw LLP (September 11, 2015)
- Co-Author, "Securities and Corporate Governance Litigation Quarterly," Newsletter, Seyfarth Shaw LLP (July 28, 2015)
- Co-Author, "SEC Charges EB-5 Fund Operators and Finders," Management Alert, Seyfarth Shaw LLP (July 13, 2015)
- Co-Author, "Second Circuit Tackles 'Whistleblower' Protection Under Dodd-Frank," Workplace Whistleblower, Seyfarth Shaw LLP (June 18, 2015)
- Co-Author, "Decisions of Interest for Corporate and Transactional Lawyers," Securities and Corporate Governance Litigation Quarterly Newsletter, Seyfarth Shaw LLP (April 27, 2015)
- Co-Author, "SEC Cracks Down On Agreement Requiring In-House Reporting of Fraud Complaint," One Minute Memo, Seyfarth Shaw LLP (April 1, 2015)
- Co-Author, "Four Years to Sue on SOX Claim Withdrawn from OSHA," Workplace Whistleblower, Seyfarth Shaw LLP (February 10, 2015)
- Co-Author, "Decisions of Interest for Corporate and Transactional Lawyers," Securities and Corporate Governance Litigation Quarterly Newsletter, Seyfarth Shaw LLP (January 8, 2015)
- "Federal Court Split Continues Over Who Qualifies as a 'Whistleblower' Under Dodd-Frank," Workplace Whistleblower, Seyfarth Shaw LLP (January 5, 2015)
- Co-Author, "Second Circuit Limits Extraterritorial Reach of Dodd-Frank Act, Declines to Address Who Qualifies as a 'Whistleblower'," Workplace Whistleblower, Seyfarth Shaw LLP (September 10, 2014)
- Co-Author, "SEC’s Municipal Bond Cooperation Initiative Set to Expire for Underwriters (on Sept. 10) and Issuers (on Dec. 1)," One Minute Memo, Seyfarth Shaw LLP (August 11, 2014)
- Co-Author, "Supreme Court Extends Whistle-Blower Protections to Employees at Private Firms: A New Frontier For Outside Counsel," BNA’s Corporate Counsel Weekly (March 2014)
- Co-Author, "Supreme Court Extends Whistleblower Protections to Employees at Private Firms," One Minute Memo, Seyfarth Shaw LLP (March 6, 2014)
- "'But I’m a Whistleblower!': Is an Employee Who Takes Confidential Documents Invincible?," Workplace Whistleblower, Seyfarth Shaw LLP (January 14, 2014)
- Co-Author, "The SEC’s Whistleblower Report Shows Program Picking Up Steam," One Minute Memo, Seyfarth Shaw LLP (November 25, 2013)
- Co-Author, "SEC’s $14 Million Whistleblower Reward Likely to Lure More Tipsters," One Minute Memo, Seyfarth Shaw LLP (October 3, 2013)
- "SEC Announces New Enforcement Initiatives," Securities Source, Seyfarth Shaw LLP (Summer 2013)
- "Fifth Circuit Narrows Dodd-Frank Whistleblower Protections," Securities Source, Seyfarth Shaw LLP (Summer 2013)
- Co-Author, "Top 10 Whistleblower Decisions of 2012," Whistleblower Team Management Alert, Seyfarth Shaw LLP (January 24, 2013)
- "Helping Clients Comply with New SEC Regulations and Enforcement Issues," Inside the Minds, Recent Developments in Securities Law, Thompson-Reuters/Aspatore (2012)
- Co-Author, "SEC Awards Bounty under Dodd-Frank," Whistleblower Team Management Alert, Seyfarth Shaw LLP (August 28, 2012)
- Co-Author, "The Dodd-Frank Bounty Provisions And The Foreign Corrupt Practices Act: A New Frontier," Financier Worldwide (July 2012)
- Co-Author, "FYI: Wave of Whistleblower Claims on the Way," Massachusetts Lawyers Weekly (April 2011)
- Co-Author, "Are There Avenues for Recovery in United States Courts for Overseas Hedge Fund Losses?," The Hedge Fund Law Report (July 23, 2009)
- "Will Stoneridge Protect ‘Secondary Actors’ in the Current Financial Crisis?," Securities Docket (2008)
- "A Review of the Market Timing and Late Trading Issues and Their Impact on the U.S. Mutual Fund Industry," The Company Lawyer, Sweet & Maxwell, United Kingdom (Winter 2006)
- "Don’t Jump Without Looking – The SEC’s New Weapon Against ‘Golden Parachutes’ for Executives of Troubled Companies," Corporate Governance Update – Governing in the Shadow of Scandal, Boston Bar Association (2004)
- "The Securities Litigation Year in Review - Sarbanes-Oxley Year One," Litigating in the Wake of the Enron Flood, MCLE, Inc. (2003)
- "Central Bank Is Alive and Well: Defense Strategies for Defeating ‘Scheme to Defraud’ Allegations in Private Securities Litigation," ALI-ABA Securities Litigation (May 8, 2003)
- "Loss Causation in Securities Litigation: A Defense Strategy Whose Time Has Come," The Review of Securities & Commodities Litigation (September 25, 2002)
- "Shrink-Wrap, Click-Wrap or Both: The Current Landscape Regarding the Enforceability of Software License Agreements," Intellectual Property Observer (Fall 2002)
- "The ‘IPO Allocation Cases’: A New Frontier in Securities Litigation for Issuers and Their Directors and Officers Liability Insurers," American Conference Institute (May 21, 2002)
- "Post-PSLRA Judicial Treatment of Insider Trading Allegations as a Basis For Pleading Scienter in Securities Fraud Cases," ALI-ABA Securities Litigation (May 2, 2002)
- "Intellectual Property and Securities Law Disclosure: Navigating the Mine Field," Intellectual Property Observer (Winter 2002)
- "Understanding Insider Trading Rules," Venture Capital & Information Technology (April 2001)
- "SEC Enforcement Activity in the Wake of Securities Litigation Reform, What Role Will D&O Insurance Coverage Play?," Insight Directors & Officers Liability – Risk Management and Insurance (December 1998)
- Co-Presenter, "Commercial Litigation Outlook: Insights and Predictions for Litigation Trends in 2023, Part 1: Commercial Litigation Outlook: Insights and Predictions for Litigation Trends in 2023," Webinar Series, Seyfarth Shaw LLP (February 7, 2023)
- Co-Presenter, "State of the State Reactions Post-Dobbs," Webinar, Seyfarth Shaw LLP (August 31, 2022)
- Co-Presenter, "Post-Dobbs Implications for Employers and Employer Plan Sponsors," Webinar, Seyfarth Shaw LLP (July 13, 2022)
- Co-Presenter, "Commercial Litigation Outlook: Part 2: Insights and Predictions for Litigation Trends in 2022," Webinar Series, Seyfarth Shaw LLP (April 27, 2022)
- Co-Presenter, "Commercial Litigation Outlook: Post-Pandemic Trends and Emerging Challenges in 2021," Webinar, Seyfarth Shaw LLP (May 4, 2021)
- Panelist, "SEC Priorities in 2021 for Real Estate Fund Advisers," IPA Webinar (April 8, 2021)
- Panelist, "EB-5 & Securities: Enforcement & Compliance Trends," 5th Annual EB-5 Market Exchange, IIUSA, Dallas, TX (October 22, 2015)
- Co-Presenter, "The Who, What, Where, When and Why of Material Non-Public Information," Webinar, Seyfarth Shaw LLP (August 22, 2019)
- Co-Presenter, "Recent SEC EB-5 Enforcement Initiatives," ILW.COM Roundtable (July 14, 2015)
- Panelist, "FCPA and Anti-Trust for Small Law," ACC Annual Meeting, New Orleans, LA (October 2014)
- "The Language of Business - Episode 7," The Language of Business (October 9, 2013)
- Panelist, "Dodd-Frank -- Interactive Dialogue with the Experts," MCLE Annual Employment Law 2011 Conference, Boston, MA (December 9, 2011)
- Panelist, "Corporate Fraud," Chicago Bar Association, Chicago, IL (June 2011)
- "Will Internal Compliance Requirements Strengthen or Weaken the Law?," Institutional Investor Educational Foundation Whistleblower Conference (May 10, 2011)
- Panelist, "Considerations for Whistleblowers," Voices for Corporate Responsibility, Washington, DC (May 2011)
- "The SEC’s New Regulations to Dodd-Frank: Whistleblowing on Steroids," EthicsPoint webinar (April 28, 2011)
- Panelist, "The Stakes Are Up: Dodd-Frank Legislation's Impact on SOX Whistleblower Litigation," Association of Corporate Counsel, Northeast Chapter, Boston, MA (March 2011)
- "Whistleblower Claims Under the Sarbanes-Oxley and Dodd-Frank Acts," Breakfast Briefing, Seyfarth Shaw LLP (February 16, 2011)
- Panelist "Insider Trading - What You Need to Know Now" Sage Tree Seminars Webinar (December 14, 2010)
- Panelist "Preparing for Compliance with the Investment Advisers Act" Sage Tree Seminars, Boston, MA, New York, NY and Dallas, TX (Fall 2010)
- "Human Resources Issues Under Sarbanes-Oxley," Greater Boston Human Resources Society Animal Conference, presented by Greater Boston Human Resources Society, Boston, MA (2008)
- "Sarbanes-Oxley Issues in the Hospitality Industry," Meeting Professionals International New England Chapter (April 2007)
- "Sarbanes-Oxley Issues Affecting Private Companies," Business Roundtable, Boston, MA (2006)
- "Recent Developments in the Enforceability of Class Action Waivers in Consumer Agreements," Boston Bar Association (October 2005)
- Panelist, "Insurance Issues Arising from the U.S. Mutual Fund and Market Investigations," Beachcroft Wansbroughs, London, England (November 2004)
- "Lessons Learned from the Market Timing and Late Trading Investigations," Boston Fixed Income Management Society (November 18, 2004)
- Panelist, "Corporate Governance Update – Governing in the Shadow of Scandal," Boston Bar Association (April 5, 2004)
- Program Co-Chair and Faculty, "Litigating in the Wake of the Enron Flood - Understanding New Litigation and Regulatory Issues a Year After the Sarbanes-Oxley Act," MCLE (July 29, 2003)
- Program Co-Chair and Faculty, "Corporate Governance After Sarbanes-Oxley," Boston Bar Association (December 5, 2002)
- Program Co-Chair and Faculty, "Issues in International Transactions," Boston Bar Association (May 30, 2002)
- Planning Committee and Federal Panel Chair, "Corporate Law 2001, Director Duties and Audit Committee Responsibilities Revisited," Boston Bar Association (May 17, 2001)
- Quoted, "Experts: SCOTUS ruling shifts onus to employers in whistleblower cases," Compliance Week (February 12, 2024)
- Quoted, "What SCOTUS’s “retaliatory intent” ruling means for employers," International Employment Lawyer (February 12, 2024)
- Quoted, "High Court Ruling Solidifies SOX Whistleblower Protections," Law360 (February 8, 2024)
- Quoted, "Justices' Whistleblower Ruling May Reverberate Beyond SOX," Law360 Employment Authority (February 8, 2024)
Broker-dealer client praised Chris' win on their behalf in $68 million FINRA arbitration.
“I am a securities litigator handling complex financial matters, including regulatory investigations, litigation, compliance, and counseling.”
More About Chris
Securities litigation and government investigations immediately put tremendous stress on clients, requiring the diversion of resources at the highest levels within the organization. Similarly, an internal whistleblower claim alleging misconduct or fraud can become a major distraction that can get away from clients if they do not have a defined process in place to handle such matters. As the chair of the firm's Whistleblower practice for more than 15 years, Chris has the depth of experience to educate and guide clients through a process that is often very unfamiliar—plus a successful track record of litigating and trying those cases.
Chris' clients include banks and broker-dealers, investment advisors, public and private companies, and their officers and directors. He has handled government investigations, securities class action litigation, merger litigation, regulatory proceedings, arbitrations, and federal and state administrative matters. Chris has handled cases and investigations across all industries, working with clients on the investigative, regulatory, employment, and litigation aspects of securities, financial institution, accounting, trading and whistleblower claims.
As a former senior counsel in the Division of Enforcement at the Securities and Exchange Commission, Chris has unique experience investigating and litigating cases with the government, followed by years of experience defending those investigations and cases.
In nearly three decades of practice, Chris has handled complex financial and securities matters, investigations, compliance matters, disciplinary proceedings involving FINRA, the Securities and Exchange Commission, the Commodities Futures Trading Commission, the Federal Reserve, Federal Trade Commission, and state regulatory agencies. He has handled whistleblower matters involving clients in financial services, technology, pharmaceuticals, consumer goods, health care, staffing, and defense, among others. Recently, he has handled litigation and investigations involving cryptocurrency and blockchain, including matters involving Initial Coin Offerings (ICO), cryptocurrency mining businesses and cryptocurrency exchanges. His experience allows him to quickly assess the particular concern being raised, and work with the client on the investigative component, as well as litigation strategy.
Chris works with clients to establish policies and procedures that ideally minimize risk and exposure before matters arise, investigations are commenced, or litigation ensues. By being proactive, clients are better prepared to handle sensitive and complex matters when they arise, which builds in both efficiency and an immediate strategic direction. This includes review of policies, training, and updates as the law changes.
Chris enjoys collaborating with his Seyfarth colleagues on novel matters involving securities, compliance, litigation, and employment, which all coalesce as part of the Whistleblower practice at the firm. Whether the matter involves class actions, merger litigation, closely held company disputes, or general commercial matters, the ability to bring the right resources to the table has been a huge benefit. Chris' ability to work with some of the most sophisticated and cutting-edge companies is a direct offshoot of that ability.
Chris' clients include banks and broker-dealers, investment advisors, public and private companies, and their officers and directors. He has handled government investigations, securities class action litigation, merger litigation, regulatory proceedings, arbitrations, and federal and state administrative matters. Chris has handled cases and investigations across all industries, working with clients on the investigative, regulatory, employment, and litigation aspects of securities, financial institution, accounting, trading and whistleblower claims.
As a former senior counsel in the Division of Enforcement at the Securities and Exchange Commission, Chris has unique experience investigating and litigating cases with the government, followed by years of experience defending those investigations and cases.
In nearly three decades of practice, Chris has handled complex financial and securities matters, investigations, compliance matters, disciplinary proceedings involving FINRA, the Securities and Exchange Commission, the Commodities Futures Trading Commission, the Federal Reserve, Federal Trade Commission, and state regulatory agencies. He has handled whistleblower matters involving clients in financial services, technology, pharmaceuticals, consumer goods, health care, staffing, and defense, among others. Recently, he has handled litigation and investigations involving cryptocurrency and blockchain, including matters involving Initial Coin Offerings (ICO), cryptocurrency mining businesses and cryptocurrency exchanges. His experience allows him to quickly assess the particular concern being raised, and work with the client on the investigative component, as well as litigation strategy.
Chris works with clients to establish policies and procedures that ideally minimize risk and exposure before matters arise, investigations are commenced, or litigation ensues. By being proactive, clients are better prepared to handle sensitive and complex matters when they arise, which builds in both efficiency and an immediate strategic direction. This includes review of policies, training, and updates as the law changes.
Chris enjoys collaborating with his Seyfarth colleagues on novel matters involving securities, compliance, litigation, and employment, which all coalesce as part of the Whistleblower practice at the firm. Whether the matter involves class actions, merger litigation, closely held company disputes, or general commercial matters, the ability to bring the right resources to the table has been a huge benefit. Chris' ability to work with some of the most sophisticated and cutting-edge companies is a direct offshoot of that ability.
- JD, Washington & Lee University School of Law
Cum laude
Law Review
Burks Scholar
Outing Club - AB, Harvard University
HistoryCum laude
Varsity Track
Rugby Club
DU Club vice president
- Massachusetts
- New York
- US Supreme Court
- US Court of Appeals, First Circuit
- US Court of Appeals, Eleventh Circuit
- US District Court, District of Massachusetts
- US District Court, Eastern District of New York
- US District Court, Southern District of New York
Related Services
- Appellate
- Blockchain Technologies
- Capital Markets
- Class & Collective Actions
- Commercial Litigation
- Consumer Class Actions
- Corporate Counseling & Governance
- Derivatives
- EB-5 Immigrant Investment
- Impact & Sustainability
- Financial Products & Technology
- Institutional Investors
- Securities & Fiduciary Duty Litigation
- False Claims, Whistleblower, and Internal Investigations
- White Collar Defense & Investigations
- Transactional Risk Insurance
Related Key Industries
Related News & Insights
-
Blog Post
Oct 30, 2024
Decoding Appeals, Episode 3: Life Cycle of a SCOTUS Appeal
-
Legal Update
Feb 15, 2024
Now Available! 2024 Commercial Litigation Outlook
-
Media Mentions
02/09/2024
Chris Robertson Discusses Significance of Murray v. UBS Securities Case in Four Media Outlets
-
Attorney Publication
12/04/2023
Chris Robertson and Owen Wolfe Write on How SCOTUS Case Impacts Whistleblower Retaliation Standards in Today’s General Counsel
- Recognized Attorney for Securities Litigation: Defense, The Legal 500 (Legalese Ltd.) (2019, 2023-2024)
-
Boston Magazine's "Top Lawyers" List (Metro Corp.) (2023)
- Listed in Massachusetts Super Lawyers for Business Litigation (Thomson Reuters) (2009)
- Listed in Massachusetts Super Lawyers “Rising Stars” for Business Litigation (Thomson Reuters) (2005)
- American Bar Association, Litigation Section
- Association of Securities & Exchange Commission Alumni
- Boston Bar Association, Securities Law Committee former co-chair
- Financial Industry Regulatory Authority (FINRA) arbitrator
- Massachusetts Bar Association
- Securities and Exchange Commission Historical Society, New England chapter founding chair
- Co-Author, "Trial Outlook," 2024 Commercial Litigation Outlook, Seyfarth Shaw LLP (February 2024)
- Co-Author, "Supreme Court Ruling Could Be a Game-Changer for Whistleblower Retaliation Standards," Today's General Counsel (December 4, 2023)
- Co-Author, "Murray v. UBS: The Second Circuit Creates a Circuit Split on Whistleblower Claim Standards," Legal Update, Seyfarth Shaw LLP (August 11, 2022)
- Co-Author, "The MAE Clause Faces Off With COVID-19 in the Delaware Courts—What Comes Next?," Legal Update, Seyfarth Shaw LLP (July 8, 2020)
- Co-Author, "SEC Commissioner Peirce Proposes Three Year 'Safe Harbor' For Tokens," Legal Update, Seyfarth Shaw LLP (February 11, 2020)
- Co-Author, "Chancery Court Finds Merger Agreement’s 'No Use' Provision Preserves Seller’s Privilege," One Minute Memo, Seyfarth Shaw LLP (June 4, 2019)
- Co-Author, "Securities and Corporate Governance Litigation Quarterly" Newsletter, Seyfarth Shaw LLP (June 13, 2017)
- Co-Author, "Supreme Court Limits SEC Disgorgement Orders With Five-Year Statute of Limitations," One Minute Memo, Seyfarth Shaw LLP (June 7, 2017)
- Co-Author, "SEC Whistleblower Awards Continue, Including to Employees Who Provide Information After an Investigation Has Begun," Workplace Whistleblower, Seyfarth Shaw LLP (March 11, 2016)
- Co-Author, "Dodd-Frank Bounties Are Alive and Well - Both SEC and CFTC Issue Awards," Workplace Whistleblower, Seyfarth Shaw LLP (December 21, 2015)
- Co-Author, "Second Circuit Creates Split Regarding Definition of Whistleblower Under Dodd-Frank’s Anti-Retaliation Provisions," Workplace Whistleblower, Seyfarth Shaw LLP (September 11, 2015)
- Co-Author, "Securities and Corporate Governance Litigation Quarterly," Newsletter, Seyfarth Shaw LLP (July 28, 2015)
- Co-Author, "SEC Charges EB-5 Fund Operators and Finders," Management Alert, Seyfarth Shaw LLP (July 13, 2015)
- Co-Author, "Second Circuit Tackles 'Whistleblower' Protection Under Dodd-Frank," Workplace Whistleblower, Seyfarth Shaw LLP (June 18, 2015)
- Co-Author, "Decisions of Interest for Corporate and Transactional Lawyers," Securities and Corporate Governance Litigation Quarterly Newsletter, Seyfarth Shaw LLP (April 27, 2015)
- Co-Author, "SEC Cracks Down On Agreement Requiring In-House Reporting of Fraud Complaint," One Minute Memo, Seyfarth Shaw LLP (April 1, 2015)
- Co-Author, "Four Years to Sue on SOX Claim Withdrawn from OSHA," Workplace Whistleblower, Seyfarth Shaw LLP (February 10, 2015)
- Co-Author, "Decisions of Interest for Corporate and Transactional Lawyers," Securities and Corporate Governance Litigation Quarterly Newsletter, Seyfarth Shaw LLP (January 8, 2015)
- "Federal Court Split Continues Over Who Qualifies as a 'Whistleblower' Under Dodd-Frank," Workplace Whistleblower, Seyfarth Shaw LLP (January 5, 2015)
- Co-Author, "Second Circuit Limits Extraterritorial Reach of Dodd-Frank Act, Declines to Address Who Qualifies as a 'Whistleblower'," Workplace Whistleblower, Seyfarth Shaw LLP (September 10, 2014)
- Co-Author, "SEC’s Municipal Bond Cooperation Initiative Set to Expire for Underwriters (on Sept. 10) and Issuers (on Dec. 1)," One Minute Memo, Seyfarth Shaw LLP (August 11, 2014)
- Co-Author, "Supreme Court Extends Whistle-Blower Protections to Employees at Private Firms: A New Frontier For Outside Counsel," BNA’s Corporate Counsel Weekly (March 2014)
- Co-Author, "Supreme Court Extends Whistleblower Protections to Employees at Private Firms," One Minute Memo, Seyfarth Shaw LLP (March 6, 2014)
- "'But I’m a Whistleblower!': Is an Employee Who Takes Confidential Documents Invincible?," Workplace Whistleblower, Seyfarth Shaw LLP (January 14, 2014)
- Co-Author, "The SEC’s Whistleblower Report Shows Program Picking Up Steam," One Minute Memo, Seyfarth Shaw LLP (November 25, 2013)
- Co-Author, "SEC’s $14 Million Whistleblower Reward Likely to Lure More Tipsters," One Minute Memo, Seyfarth Shaw LLP (October 3, 2013)
- "SEC Announces New Enforcement Initiatives," Securities Source, Seyfarth Shaw LLP (Summer 2013)
- "Fifth Circuit Narrows Dodd-Frank Whistleblower Protections," Securities Source, Seyfarth Shaw LLP (Summer 2013)
- Co-Author, "Top 10 Whistleblower Decisions of 2012," Whistleblower Team Management Alert, Seyfarth Shaw LLP (January 24, 2013)
- "Helping Clients Comply with New SEC Regulations and Enforcement Issues," Inside the Minds, Recent Developments in Securities Law, Thompson-Reuters/Aspatore (2012)
- Co-Author, "SEC Awards Bounty under Dodd-Frank," Whistleblower Team Management Alert, Seyfarth Shaw LLP (August 28, 2012)
- Co-Author, "The Dodd-Frank Bounty Provisions And The Foreign Corrupt Practices Act: A New Frontier," Financier Worldwide (July 2012)
- Co-Author, "FYI: Wave of Whistleblower Claims on the Way," Massachusetts Lawyers Weekly (April 2011)
- Co-Author, "Are There Avenues for Recovery in United States Courts for Overseas Hedge Fund Losses?," The Hedge Fund Law Report (July 23, 2009)
- "Will Stoneridge Protect ‘Secondary Actors’ in the Current Financial Crisis?," Securities Docket (2008)
- "A Review of the Market Timing and Late Trading Issues and Their Impact on the U.S. Mutual Fund Industry," The Company Lawyer, Sweet & Maxwell, United Kingdom (Winter 2006)
- "Don’t Jump Without Looking – The SEC’s New Weapon Against ‘Golden Parachutes’ for Executives of Troubled Companies," Corporate Governance Update – Governing in the Shadow of Scandal, Boston Bar Association (2004)
- "The Securities Litigation Year in Review - Sarbanes-Oxley Year One," Litigating in the Wake of the Enron Flood, MCLE, Inc. (2003)
- "Central Bank Is Alive and Well: Defense Strategies for Defeating ‘Scheme to Defraud’ Allegations in Private Securities Litigation," ALI-ABA Securities Litigation (May 8, 2003)
- "Loss Causation in Securities Litigation: A Defense Strategy Whose Time Has Come," The Review of Securities & Commodities Litigation (September 25, 2002)
- "Shrink-Wrap, Click-Wrap or Both: The Current Landscape Regarding the Enforceability of Software License Agreements," Intellectual Property Observer (Fall 2002)
- "The ‘IPO Allocation Cases’: A New Frontier in Securities Litigation for Issuers and Their Directors and Officers Liability Insurers," American Conference Institute (May 21, 2002)
- "Post-PSLRA Judicial Treatment of Insider Trading Allegations as a Basis For Pleading Scienter in Securities Fraud Cases," ALI-ABA Securities Litigation (May 2, 2002)
- "Intellectual Property and Securities Law Disclosure: Navigating the Mine Field," Intellectual Property Observer (Winter 2002)
- "Understanding Insider Trading Rules," Venture Capital & Information Technology (April 2001)
- "SEC Enforcement Activity in the Wake of Securities Litigation Reform, What Role Will D&O Insurance Coverage Play?," Insight Directors & Officers Liability – Risk Management and Insurance (December 1998)
- Co-Presenter, "Commercial Litigation Outlook: Insights and Predictions for Litigation Trends in 2023, Part 1: Commercial Litigation Outlook: Insights and Predictions for Litigation Trends in 2023," Webinar Series, Seyfarth Shaw LLP (February 7, 2023)
- Co-Presenter, "State of the State Reactions Post-Dobbs," Webinar, Seyfarth Shaw LLP (August 31, 2022)
- Co-Presenter, "Post-Dobbs Implications for Employers and Employer Plan Sponsors," Webinar, Seyfarth Shaw LLP (July 13, 2022)
- Co-Presenter, "Commercial Litigation Outlook: Part 2: Insights and Predictions for Litigation Trends in 2022," Webinar Series, Seyfarth Shaw LLP (April 27, 2022)
- Co-Presenter, "Commercial Litigation Outlook: Post-Pandemic Trends and Emerging Challenges in 2021," Webinar, Seyfarth Shaw LLP (May 4, 2021)
- Panelist, "SEC Priorities in 2021 for Real Estate Fund Advisers," IPA Webinar (April 8, 2021)
- Panelist, "EB-5 & Securities: Enforcement & Compliance Trends," 5th Annual EB-5 Market Exchange, IIUSA, Dallas, TX (October 22, 2015)
- Co-Presenter, "The Who, What, Where, When and Why of Material Non-Public Information," Webinar, Seyfarth Shaw LLP (August 22, 2019)
- Co-Presenter, "Recent SEC EB-5 Enforcement Initiatives," ILW.COM Roundtable (July 14, 2015)
- Panelist, "FCPA and Anti-Trust for Small Law," ACC Annual Meeting, New Orleans, LA (October 2014)
- "The Language of Business - Episode 7," The Language of Business (October 9, 2013)
- Panelist, "Dodd-Frank -- Interactive Dialogue with the Experts," MCLE Annual Employment Law 2011 Conference, Boston, MA (December 9, 2011)
- Panelist, "Corporate Fraud," Chicago Bar Association, Chicago, IL (June 2011)
- "Will Internal Compliance Requirements Strengthen or Weaken the Law?," Institutional Investor Educational Foundation Whistleblower Conference (May 10, 2011)
- Panelist, "Considerations for Whistleblowers," Voices for Corporate Responsibility, Washington, DC (May 2011)
- "The SEC’s New Regulations to Dodd-Frank: Whistleblowing on Steroids," EthicsPoint webinar (April 28, 2011)
- Panelist, "The Stakes Are Up: Dodd-Frank Legislation's Impact on SOX Whistleblower Litigation," Association of Corporate Counsel, Northeast Chapter, Boston, MA (March 2011)
- "Whistleblower Claims Under the Sarbanes-Oxley and Dodd-Frank Acts," Breakfast Briefing, Seyfarth Shaw LLP (February 16, 2011)
- Panelist "Insider Trading - What You Need to Know Now" Sage Tree Seminars Webinar (December 14, 2010)
- Panelist "Preparing for Compliance with the Investment Advisers Act" Sage Tree Seminars, Boston, MA, New York, NY and Dallas, TX (Fall 2010)
- "Human Resources Issues Under Sarbanes-Oxley," Greater Boston Human Resources Society Animal Conference, presented by Greater Boston Human Resources Society, Boston, MA (2008)
- "Sarbanes-Oxley Issues in the Hospitality Industry," Meeting Professionals International New England Chapter (April 2007)
- "Sarbanes-Oxley Issues Affecting Private Companies," Business Roundtable, Boston, MA (2006)
- "Recent Developments in the Enforceability of Class Action Waivers in Consumer Agreements," Boston Bar Association (October 2005)
- Panelist, "Insurance Issues Arising from the U.S. Mutual Fund and Market Investigations," Beachcroft Wansbroughs, London, England (November 2004)
- "Lessons Learned from the Market Timing and Late Trading Investigations," Boston Fixed Income Management Society (November 18, 2004)
- Panelist, "Corporate Governance Update – Governing in the Shadow of Scandal," Boston Bar Association (April 5, 2004)
- Program Co-Chair and Faculty, "Litigating in the Wake of the Enron Flood - Understanding New Litigation and Regulatory Issues a Year After the Sarbanes-Oxley Act," MCLE (July 29, 2003)
- Program Co-Chair and Faculty, "Corporate Governance After Sarbanes-Oxley," Boston Bar Association (December 5, 2002)
- Program Co-Chair and Faculty, "Issues in International Transactions," Boston Bar Association (May 30, 2002)
- Planning Committee and Federal Panel Chair, "Corporate Law 2001, Director Duties and Audit Committee Responsibilities Revisited," Boston Bar Association (May 17, 2001)
- Quoted, "Experts: SCOTUS ruling shifts onus to employers in whistleblower cases," Compliance Week (February 12, 2024)
- Quoted, "What SCOTUS’s “retaliatory intent” ruling means for employers," International Employment Lawyer (February 12, 2024)
- Quoted, "High Court Ruling Solidifies SOX Whistleblower Protections," Law360 (February 8, 2024)
- Quoted, "Justices' Whistleblower Ruling May Reverberate Beyond SOX," Law360 Employment Authority (February 8, 2024)
Broker-dealer client praised Chris' win on their behalf in $68 million FINRA arbitration.