We represent clients in virtually all aspects of securities litigation including individual suits and class actions. 

We also represent clients in lawsuits involving securities-related issues arising under ERISA, RICO, and the Bankruptcy Code. Our lawyers are experienced in handling internal corporate and audit committee investigations; SEC enforcement proceedings; government investigations; merger, acquisition, and proxy contest actions; PCAOB matters; and FINRA arbitrations and investigations.

Shareholder Class Actions
We have substantial experience in defending shareholder class action litigation. Our clients include not only corporations in our home states, but Fortune 500 companies and their officers and directors. Although we are generally lead counsel on such matters, we have established a substantial reputation as Mountain West co-counsel as a result of affiliations with other securities litigation firms throughout the United States.

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Securities Enforcement and Shareholder Litigation Client Results

Representative Experience
  • In re First Data Corp. Shareholder Litigation (Colo. State Court): Represented First Data Corp. and its directors and officers in private equity litigation.
  • Abram and Eaton Vance High Yield Municipal Bond Fund v. Southeastern Municipal Bonds, Inc., et al. (D. Colo.): Represented Eaton Vance as an individual plaintiff and subsequently as the largest class member in this action brought under Section 10(b) and Section 12(2).
  • Represented entities, officers, and directors in non-public SEC investigations involving Ponzi schemes, the sale of annuities, insider trading, supervision, fraud, and market timing in mutual funds.
  • Amy J. Straily v. UBS Financial Services, Inc., 07-cv-00884-REB-KMT (D. Colo. Mar. 24, 2009). Defeated breach of fiduciary duty claims on summary judgment brought by purported nationwide class action of customers of major national brokerage firm relating to its bank sweep program.

  • Cannon v. Citigroup Global Markets Inc., et al. (D. Colo.): Defended Lehman Brothers in securities class action.
  • Haegle v. Scott, et al. (State court): Defense of shareholder derivative litigation on behalf of the Level 3 board of directors.
  • Maierhofer, et al. v. Meredith Corporation, et al. (State court): Defended The Meredith Corporation and Meredith Real Estate Corporation in Section 10(b) and Section 12(2) class action litigation. Defeated class certification. Summary judgment granted for defense.
  • Sterling, et al. v. Cray Computer Corporation, et al. (D. Colo.): Defense of issuer and the two individual defendants named in Section 10(b) class action litigation. Also represented the company and its individual officers in a related SEC investigation. The SEC brought no action and the matter was closed.
  • In re FirstWorld Communications Sec. Litig. (D. Colo.): Defended FirstWorld (Verado) and its officers and directors in securities class actions.
  • Tuchman v. Pell Rudman, et al. (D. Colo.): Defended Pell Rudman and parent AMVESCAP PLC in securities action filed by private wealth management client.
  • CONVERDYN, Plaintiff, v. James Neal BLUE, Heathgate Resources PTY Ltd, General Atomic Technologies Corporation, and Nuclear Fuels Corporation, Defendants. (D. Colo.) Defended uranium producer in $60 million RICO and breach of contract claim brought by large corporate purchaser of uranium.
  • In re The North Face Sec. Litig. (State court.): Defended The North Face Inc. in securities class actions.
  • In re Einstein/Noah Bagel Corp. Sec. Lit. (D. Colo.): Defended issuer and its officers and directors in consolidated securities class action.
  • All Copy v. Citicorp Vendor Finance (Colo. State Court): Defeated class certification in CCPA litigation.
  • Hooking Family Trust LLC, et al., v. Mathew Frary, Fla. Cir. Ct. (2010). Represented majority shareholders of an internet LLC claiming waste, fraud, and breach of fiduciary duty.
  • Chess v. Goldstein et al. (State court): Defended officers and directors of Scotts’ Liquid Gold-Inc. in a shareholder derivative action.
  • Defended purported securities class actions brought against Ciber, Inc.; Zynex Inc.; First World Communications Inc.; Level 3; The North Face; Einstein/Noah Bagel, Inc.; Pace Membership Warehouse, Inc.; Scott’s Liquid Gold, Inc.; and The Cray Corporation.
  • Defeated shareholder suits in Delaware and California seeking preliminary injunctions to block client's takeover of Nevada corporation.
  • Burke v. HEALTHSOUTH, et al. (D. Colo.): Defense of HEALTHSOUTH Corporation in opt-out action alleging federal and state securities law claims.
  • Stichting Pensioenfonds ABP v. Qwest Communications International, Inc., et al. (D. Colo.): Defense of Citigroup Capital Holdings f/k/a/ Salomon Smith Barney Holdings and Jack Grubman in opt-out case involving analyst coverage of Qwest securities.
  • Represented major national brokerage firms throughout the Mountain West in connection with customer and broker arbitrations and matters before state regulators and FINRA.
  • In re Pace Membership Warehouse Sec. Litig. (D. Colo.): Defense of the company and its officers and inside directors in this federal and state securities fraud litigation.
  • Hilgen v. Woodbury Financial Services, Inc. (State court): Defeated claims for CCPA violations in action relating to variable annuities.

Securities Enforcement and Shareholder Litigation Publications

Securities Enforcement and Shareholder Litigation Speaking Engagements and Events

Best Lawyers®: Securities / Capital Markets Law 2020

Greg Lindley: Securities / Capital Markets Law, Salt Lake City
Lucy Stark: Securities / Capital Markets Law, Denver
Holly Stein Sollod: Securities / Capital Markets Law, Denver

Former Director of Arbitrations American Stock Exchange

Holly Stein Sollod, Former Director

Securities Exchange Commission Division of Enforcement

Brian Hoffman, Former Senior Attorney

Former Regulators and Prosecutors Experience
Gregory Goldberg: Assistant US Attorney, US Department of Justice
Andrew Emrich: Counsel to the Assistant Attorney General, US Department of Justice
Craig Galli: Senior Trial Attorney, US Department of Justice
Brian Hoffman: Senior Attorney, SEC – Division of Enforcement
Kelly Johnson: Deputy Assistant Attorney General, US Department of Justice
Melissa Lou: Assistant US Attorney, US Department of Justice
John Martin: Trial Attorney, US Department of Justice; Attorney, US Department of the Interior's Solicitor's Office
Bill Mercer: US Attorney; Associate Attorney General and Principal Associate Deputy Attorney General, Assistant US Attorney, US Department of Justice
Michael O’Leary: Assistant US Attorney, US Department of Justice
Steven Pelak: Chief, Counterespionage Section, US Department of Justice; National Coordinator Export Control/Economic Sanctions Enforcement, Department of Justice; Assistant US Attorney, US Department of Justice
Tom Sansonetti: Assistant Attorney General, Environment and Natural Resources Division, US Department of Justice
John Sullivan: Assistant US Attorney, US Department of Justice

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