FacultyFaculty/Author Profile

James P. Smith III

Winston & Strawn LLP

New York, NY, USA


James Smith III
PARTNER
Chair, Securities Litigation Practice
Winston & Strawn LLP

James P. Smith III is a partner in Winston & Strawn’s New York office and chairs the firm’s Securities Litigation practice. His practice areas comprise a broad range of complex commercial litigation, with a focus on M&A-related litigation and contests for corporate control, federal securities fraud class action defense, corporate governance litigation and advice, the defense of shareholder derivative suits, and state deceptive sales practices/consumer fraud class action defense.

Mr. Smith is a first-chair trial lawyer and has tried numerous cases (including in the Delaware Court of Chancery) and argued notable appeals before various state and federal appellate courts. He has represented clients in a variety of industries, including technology/ecommerce, commercial and investment banking, private equity, hedge funds, derivatives and securitization, insurance, energy, oil and gas, health care, biotech, semiconductors, and telecommunications.

HONORS & AWARDS

Mr. Smith is listed in the Law & Politics Magazine as a “Super Lawyer” in the 2010 National “Corporate Counsel Edition” publication. He is also listed as a “New York Super Lawyer” in the Law & Politics Magazine’s Securities Litigation and Litigation editions.

PUBLICATIONS

Speeches:

Mr. Smith has appeared on “InsideTrack,” Bloomberg Television’s morning market coverage, providing insight on securities fraud, fiduciary duty, and corporate governance issues, and has been interviewed on related matters by Dow Jones and other financial media outlets.

Additional speeches, programs, and appearances include: 

  • 41st Annual Northwestern Law Securities Regulation Institute, "Civil Litigation" (panel with former Chief Justice Myron Steele of the Delaware Supreme Court) (Jan. 29, 2014)
  • Boston Bar Association First Annual Mergers & Acquisitions Conference, "The Evolving Standards of Judicial Review for M&A Transactions and Recent Developments in M&A Litigation" (Nov. 13, 2013)
  • ABA Business Law Section 2013 Spring Meeting, Mergers & Acquisitions Committee, “What Deal Lawyers Need to Know About M&A Litigation” (panel with Hon. Myron Steele, Chief Justice, Delaware Supreme Court) (April 2013)
  • ABA Business Law Section 2013 Spring Meeting, Financial Advisor Task Force, Mock Investment Banker Engagement Letter Negotiation (April 2013)
  • 40th Annual Northwestern Law Securities Regulation Institute, “Federal and State Judicial Developments and Private Securities Litigation” (panel chaired by Chief Justice Myron Steele of the Delaware Supreme Court) (Coronado, CA, Jan. 2013)
  • “Securities Litigation in 2012 and Beyond: New Targets, New Solutions,” panel presentation for the Association of Corporate Counsel – Southern California Chapter (Nov. 13, 2012)
  • Financial Sector in Distress: “Workout Strategies, Bankruptcy, Receiverships and Acquisitions” (Feb. 18, 2009)
  • PLI Securities Litigation and Enforcement Institute 2009, “Corporate Governance Litigation,” (panel with former Vice Chancellor Stephen Lamb of the Delaware Court of Chancery) (Sept. 29, 2009)
  • Numerous in-house and client CLE certified programs on topics ranging from the latest developments in Delaware M&A and corporate governance jurisprudence to developments in class action and multidistrict litigation to the attorney-client privilege and work product doctrine to ethics in the conduct of corporate internal investigations to deposition skills training.
Publications:

Since 2006, Mr. Smith has co-authored the “Delaware Quarterly: Recent Developments in Delaware Business and Securities Law,” a quarterly roundup of major decisions in the Delaware Court of Chancery published in both the Bank and Corporate Governance Law Reporter and the Securities Reform Act Litigation Reporter.

Additional publications include:
  • “CSX – A Case of First Impression: Hedge Funds Violated Securities Laws’ Disclosure Requirements,” Derivatives Financial Products Reports , October 2008.
  • “‘CSX’: Second Circuit Upholds Denial of Injunctive Relief,” New York Law Journal , September 26, 2008.
  • “Changing Face of Class Actions,” New York Law Journal , special pullout section, “Securities Litigation & Regulation,” July 9, 2007.
  • “1998-99 Merits Decisions in ‘Vanishing Premium’ Sales Practices Litigation: A Vintage Year for Insurance Company Defendants,” ALI-ABA Conference on Life Insurance Litigation: Course of Study Materials, American Law Institute May 13-14, 1999.
  • “A Reversible Shield: Model Rule 4.2 in Competing Class Actions,” Litigation Ethics, American Bar Association, Section of Litigation, Committee on Ethics and Professional Responsibility, Fall/Winter 1997.

Acknowledgements:

  • Hon. Leo E. Strine, Jr., Lawrence A. Hamermesh and Matthew C. Jennejohn, “Putting Stockholders First, Not the First-Filed Complaint,” Harvard Law School, John M. Olin Center For Law, Economics and Business, Discussion Paper No. 740 (1/2013), n. 1 (acknowledged for “thoughtful comments”).

SERVICES

  • Class Actions
  • Complex Commercial Litigation
  • Corporate Governance
  • Corporate and Transactional
  • Litigation
  • Mergers & Acquisitions
  • Securities Litigation

SECTORS

  • Electric Power & Utilities
  • Financial Services & Banking
  • Health Care
  • Pharmaceuticals & Medical
  • Devices
  • Retail & Consumer Products
  • Technology &
  • Telecommunications

ADMISSIONS

  • New York

EDUCATION

  • Georgetown University, JD, 1993
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