Securities Litigation Lawyer
Oberheiden P.C. is a securities litigation firm that represents corporations, officers, directors, accounting firms, advisory firms, and other clients in complex federal cases. We defend companies, firms, and individuals accused of securities law violations in federal jurisdictions nationwide.
Federal securities litigation presents several risks and challenges. Whether your company, your firm, or you personally are being sued, avoiding substantial liability requires a strategic, forward-thinking, and unrelenting defense. At Oberheiden P.C., our defense lawyers have extensive experience and a proven record of success in complex securities litigation matters. This includes obtaining successful results on behalf of clients in civil litigation as well as U.S. Securities and Exchange Commission (SEC) and U.S. Department of Justice (DOJ) enforcement proceedings.
In addition to our securities lawyers’ defense experience, several of our lawyers also have prior experience as white-collar prosecutors with the DOJ. This includes experience investigating and prosecuting charges of federal securities fraud. With experience handling complex federal securities litigation as defense counsel and on behalf of the government, we are able to offer our clients deep insights and strategic advice that few other firms our size can match.
About Our Securities Litigation Firm
Our securities litigation practice encompasses all types of civil and governmental matters involving the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley act of 2002 (SOX), and the multitude of other federal laws and regulations that govern issuers, accounting firms, advisory firms, and individuals working for and on behalf of these entities. Our lawyers work closely with our clients and their key stakeholders to thoroughly assess the facts on the ground and to quickly develop defense strategies that are designed to mitigate the costs of litigation while also targeting the best possible result in light of the circumstances at hand.
In many cases, securities litigation will arise within the context of a broader corporate crisis. The company may be facing multiple allegations from a multitude of private plaintiffs and government regulators, or the allegations may just be the tip of the iceberg in a large-scale federal investigation. Our firm has the securities litigation resources required to effectively represent corporate entities in times of crisis, and we can get to work protecting your company immediately if necessary.
Matters We Handle
Within our securities litigation practice, we advise and represent individuals, companies, and firms in defense of all types of statutory, regulatory, and common-law allegations. Our securities litigation team provide representation for matters including:
Securities Class Actions and Multi-District Litigation (MDL)
Securities class actions and multi-district litigation (MDL) can present substantial defense challenges regardless of the nature and extent of the allegations involved. At Oberheiden P.C., we defend corporations, accounting firms, and advisory firms in securities class actions and MDL in federal jurisdictions across the country, and we are one of a very small number of firms our size with the capability to do so.
Shareholder Derivative Lawsuits
Shareholder derivative lawsuits can also present unique jurisdictional and logistical challenges for companies and their officers and directors. We provide nationwide defense representation for shareholder derivative lawsuits targeting breach of fiduciary duty, conflicts of interest, self-dealing, negligence, and other allegations. We also assist corporate boards in assessing shareholder derivative claims and moving forward with an appropriate response.
Corporate Control Disputes
Internal efforts to seize corporate control can lead to securities litigation involving a broad range of complex issues and the risk of substantial harm to the corporation’s shareholders. We defend companies and individuals in corporate control disputes, and we diligently and aggressively pursue favorable results that protect our clients’ corporate interests as well as their bottom lines.
Whether a takeover attempt has been sitting on the horizon or completely blindsides a company’s leadership team, defending against the takeover attempt requires a prompt response that sends a clear message. Our securities litigation lawyers represent corporate entities and other clients nationwide in matters involving takeover attempts by minority shareholders and outside investors, and we are able to simultaneously pursue multiple strategies in corporate takeover defense.
Insider Trading Allegations
Insider trading allegations can send shockwaves through publicly-traded companies, and they can present extreme risks for officers, directors, and other insiders accused of defrauding investors. At Oberheiden P.C., we defend corporate insiders against allegations of insider trading, and we also provide defense representation to corporations accused of allowing and facilitating illegal securities transactions.
Securities Fraud Allegations
Corporations, advisory firms, officers, directors, shareholders, advisors, and other entities and individuals can face securities fraud allegations under a broad range of scenarios. We defend entities and individuals facing all types of federal securities fraud allegations, from making misrepresentations and omissions in public filings to violating the SEC’s Regulation Best Interest (Reg BI).
Accounting Fraud Allegations
Many securities litigation matters involve allegations of accounting fraud filed against both corporate entities and their outside accounting firms. These cases tend to involve highly complex issues that implicate numerous federal statutes and regulations. Our securities litigation lawyers are intimately familiar with these issues, and we help our clients navigate the legal challenges involved with shifting and apportioning liability when multiple parties get sued.
Merger and Acquisition (M&A) Litigation
Various aspects of corporate merger and acquisition (M&A) transactions can lead to securities litigation. We represent parties on both sides of these transactions in litigation arising prior to and after closing, and we provide representation for shareholder claims and other matters arising out of M&A transactions as well.
Initial Public Offering (IPO) Litigation
Initial public offerings (IPOs) also present a multitude of litigation risks for companies, their boards and their executives. When things do not go as planned, or when shareholders discover that they may have been misled, the floodgates can open quickly, and the liability exposure can be substantial. At Oberheiden P.C., we defend companies, boards, and executives nationwide in all types of IPO litigation.
Federal Securities Investigations
A significant portion of our securities litigation practice also involves representing companies and individuals in federal securities investigations. Our lawyers have extensive experience on both sides of investigations conducted by the SEC and DOJ, the Federal Bureau of Investigation (FBI), and other federal agencies. If you or your company is being targeted, you will need to engage experienced defense counsel promptly in order to mitigate the risk of charges leading to civil or criminal enforcement litigation.
How We Protect Companies, Firms, and Individuals in Securities Litigation Cases
When we represent clients in securities litigation, we take a comprehensive and strategic approach that is tailored toward efficiently achieving a favorable result. Our senior lawyers work collaboratively – and work around the clock when necessary – in order to ensure that the risks our clients are facing are no greater than necessary. To this end, our representation in federal securities litigation matters includes:
- Internal Corporate Investigations – One of our first priorities will be to conduct a confidential and privileged internal corporate investigation in order to assess the validity of the allegations at hand. We will limit the scope of the investigation and the personnel involved as appropriate, and we will use the information gathered to quickly develop a comprehensive and cohesive defense strategy.
- Independent Audits – If an independent audit is necessary, our lawyers can oversee the audit and advise you throughout the process. Once the audit is complete, our lawyers will assess the legal implications of the auditors’ findings and determine the appropriate next steps.
- Intervention in Federal Inquiries – If the SEC, DOJ, FBI, or any other federal agency is looking into you or your company, our securities litigation attorneys can promptly intervene in the inquiry and gather the information you need in order to start making informed decisions. Our attorneys will deal with the authorities on your behalf for the duration of the investigation while advising you throughout the process.
- Discovery and Pre–Trial Practice – At Oberheiden P.C., we make strategic use of discovery and pre-trial practice in order to position our clients’ securities litigation matters for positive outcomes. In many cases, we are able to obtain favorable results through out-of-court negotiations or by obtaining summary judgment or dismissal in court.
- Trial Representation – When it is in our client’s best interests to litigate through trial, our lawyers call upon their extensive courtroom experience to vigorously advocate on our client’s behalf. Our senior attorneys have extensive trial records, and they are well-known for their ability to achieve successful outcomes in complex and high-stakes federal cases.
Do you need defense counsel for a federal securities litigation matter? If so, we encourage you to contact us promptly so that our senior attorneys can get to work right away. For a free initial consultation, contact Oberheiden P.C. now.
Speak directly with a Securities Litigation Lawyer at Oberheiden P.C.
To speak with one of our senior securities litigation lawyers about your company’s situation or the allegations against you, call us at 888-680-1745 or contact us online. Headquartered in Dallas, Texas, we have local counsel in major cities across the country, and we are able to provide representation for securities litigation matters in most federal jurisdictions nationwide.