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

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.

Shareholder Derivative Claims
Our attorneys often represent directors and officers of public companies in defeating shareholder derivative suits brought by existing shareholders on behalf of the company against its officers and directors for breach of fiduciary duty, corporate control disputes, LLC disputes, and corporate "divorce." Our lawyers also act as special counsel to special litigation committees and panels.

SEC Enforcement
We represent individuals and corporations in connection with government investigations, including Securities and Exchange Commission inquiries and enforcement proceedings, State Attorneys General actions, PCAOB matters, and FINRA arbitrations and investigations. We defend companies, their officers, investment advisors, and accountants in various formal and informal investigations and administrative proceedings involving allegations of insider trading, accounting fraud, market manipulation, and misrepresentation or omissions. Several of our lawyers have served as court-appointed receivers and special counsels in SEC enforcement actions.

Internal Investigations
We assist special litigation committees and audit committees in investigating allegations of wrongdoing, including account fraud, stock fraud, money laundering, foreign corrupt practices, and insider trading. We also develop compliance programs for our clients relating to insider trading, whistleblower protections and litigation avoidance to help them stay out of trouble. Our Government Investigations/White Collar Crime group handles federal and state criminal proceedings, including grand jury proceedings and congressional investigations.

Broker/Dealer Arbitration and Litigation
We have extensive experience in broker/dealer and customer/broker securities arbitrations and lawsuits involving fraud, unauthorized trading, suitability, churning, trading away, defamation and employment claims. In fact, one of our partners is a former Director of Arbitration and Disciplinary Hearings of the American Stock Exchange.

Securities Enforcement and Shareholder Litigation Publications

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
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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