• Phillip R. Kaplan

    Chair, Securities Litigation and Arbitration
    Download Contact (.vcf)

    Costa Mesa
    Direct: 714.371.2535
    General: 714.371.2500
    Fax: 714.371.2550


    University of Southern California, J.D., 1977.


    Yale University, B.A., 1973.

    Bar Admissions
    • Profile
    • Representative Matters
    • Honors & Awards
    • Publications
    • Memberships & Activities
    • Speaking Engagements


    Phil Kaplan is a partner in the Orange County office and the chair of the Securities Litigation and Arbitration practice. With more than 30 years of litigation successes, his broad‐based trial practice focuses on securities, class action, product liability, insurance, real estate and environmental litigation.

    Securities and M&A Litigation 
    Mr. Kaplan represents companies and shareholders in class and derivative actions alleging '33 and '34 Act violations, cases alleging fraud and non-disclosure under state blue-sky laws, pre- and post-closing M&A dispute resolution, and special committee and governmental investigations.

    Class Actions
    Mr. Kaplan has defended companies, of all sizes and across a wide range of industries, against class and other representative actions.

    Product Liability
    Mr. Kaplan has represented manufacturers in the automotive, battery, computer chip and medical device industries against claims for breach of warranty, product liability and unfair or deceptive practices.

    Financial Institutions
    Mr. Kaplan has represented banks, insurance companies, mutual funds and other financial services firms in challenges brought under the Investment Company Act of 1940 to their marketing and disclosure practices, dividend determinations and fee structures.

    Mr. Kaplan regularly handles high‐stakes coverage matters, including bad faith denial and improper claims litigation and suits involving asbestos, environmental and medical product liability coverage

    Professional Liability
    Mr. Kaplan has defended law firms against legal malpractice, conflict of interest, breach of fiduciary duty and fraud claims.

    Real Estate
    Mr. Kaplan has litigated disputes involving the acquisition, construction, financing, and sale or lease of commercial, industrial and residential real estate developments.

    Mr. Kaplan has litigated private party and administrative matters involving contribution, indemnity and regulatory compliance claims relating to environmental pollution, including state enforcement and private cost recovery groundwater contamination cases. He has also litigated insurance coverage for environmental claims.

    Representative Matters

    Honors & Awards

    “Super Lawyer,” Southern California, 2005–2012.

    Anti-Defamation League’s Marcus Kaufman Jurisprudence Prize for outstanding commitment to civil rights, 2010. 

    USC Public Interest Law Foundation's Paul Davis Memorial Award to USC Law Alumnus “Lawyer of the Year” for Pro Bono Work, 2008. 

    Orange County Public Law Center Law Firm Award for Outstanding Pro Bono work for the homeless for In re, Eichorn, 69 Cal. App. 4th 382 (1998), establishing the necessity defense for a homeless person cited for violating an anti-camping law 1999.


    "Court Strikes Blow Against Lawyer-Driven Securities Suits," Vol. 17 No. 2, Legal Backgrounder, Washington Legal Foundation, January 11, 2002.

    Memberships & Activities

    Admitted to practice in U.S. District Court, Central, Southern, Eastern, and Northern Districts of California; U.S. Tax Court; U.S. Court of Appeals, Ninth Circuit; U.S. Supreme Court. 

    President, Orange County Federal Bar Association, 2004.

    Past Board Member, Orange County ABTL, 2010-2011. 

    Past Board Member, Orange County Bar Association Member, Finance Committee, Orange County Bar Association (2005-present).

    Past Board Member, Orange County Constitutional Rights Foundation.

    Past Board Member, Public Law Center (then known as Amicus Publico).

    Adjunct Professor, “Constitutional Law,” University of California, Irvine (spring and fall semesters, 1996).

    Member, Yale Alumni Schools Committee (Interviewer).

    Speaking Engagements

    “The Duties of Directors,” Chapman School of Business and Economics, Orange, CA, February 2009.

    “Security and Privacy Actions: The Changing Landscape for Business Litigators,” ABTL Statewide Annual Seminar Panelist, October 2007.

    “Stock Option Investigations,” O’Melveny & Meyers LLP Corporate Seminar Series, 2006.

     “Ethics Issues for Corporate Counsel,” Orange County Bar Association Corporate Counsel Section, 2006.

    “Sarbanes-Oxley Compliance,” Southern California ACCA, 2003.

    “Crime in the Board Room,” Banyard Inns of Court, 2003.

    “Attorney-Client Privilege,” Orange County Bar, Corporate Counsel Section, 2000.

    “The Use of Computer Graphics in Environmental Coverage Cases,” CIGNA Claims Department, Philadelphia, 1996.

    “Evidence for Corporate Counsel,” Orange County Bar, Corporate Counsel Section, 1995.

    “Evidence,” Continuing Education of the Bar, 1994.

    “Introduction to Practice in Federal Court,” Continuing Education of the Bar, 1993.