Our attorneys, including former senior federal and state prosecutors, a former SRO regulator, and a former Securities and Exchange Commission (SEC) enforcement lawyer, are relentless advocates experienced in securities litigation, investigations by the SEC, the U.S. Department of Justice, and state attorneys general and securities regulators. Holland & Hart offers corporations, officers, directors, and other individuals access to this sophisticated talent at a cost-effective fee structure.
We have experience in every aspect of securities litigation, from pre-complaint matters such as Wells notices through trial. Our experience extends from the administrative level, to federal and state courts and before arbitration panels throughout the nation. Our areas of specialization include:
Shareholder Class Actions. We have developed substantial experience in defending corporations, including Fortune 500 companies and their officers and directors, against shareholder and class action litigation, in federal and state courts.
Customer Disputes. Our lawyers represent broker-dealers and other market professionals in court, in securities arbitrations, and in regulatory proceedings.
Corporate Governance. We represent corporations and boards of directors in defending shareholder derivative litigation, handling special litigation committee matters, and counseling clients on corporate governance.
SEC Investigations. We have defended public and private companies, broker-dealers, and their officers, directors, and employees, as well as CPA's and other licensed professionals, in SEC investigations covering a wide range of matters, including alleged misrepresentations in public filings, failure to supervise, insider trading, accounting irregularities, and securities registration violations. Our attorneys are experienced at handling every phase of these delicate matters, including document production, sworn testimony, and responding to "Wells" notices. Although we are prepared to aggressively defend our clients at trial, our goal is to avoid any enforcement action or achieve settlement on terms favorable to the client.
SEC Receiverships. U.S. District Courts have appointed our lawyers as receivers of entities that the SEC determined were engaged in violative conduct. Our attorneys marshaled assets, oversaw company operations and litigated on behalf of the receivership estates for the benefit of investors.
Trial Practice. When the battle comes, Holland & Hart brings decades of experience to the courtroom. We frequently try our cases to juries. Indeed, our approach to discovery is to assume that each case will go to trial. Our depositions and written discovery concentrate on the elements of the relevant claims and defenses, and the credibility of key witnesses, thereby enhancing the likelihood of a successful outcome.
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