Chair, Securities Litigation and ArbitrationLitigation
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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.
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.
Mr. Kaplan has defended companies, of all sizes and across a
wide range of industries, against class and other
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
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
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
Mr. Kaplan has defended law firms against legal
malpractice, conflict of interest, breach of fiduciary duty and
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
“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.
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).
“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.
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