Securities Litigation Defense Attorney
Oberheiden P.C. is a nationwide securities litigation law firm representing individuals and organizations in complex and high-stakes federal cases.
Securities Litigation Team Lead
Former DOJ Trial Attorney
Contact John directlyFederal securities litigation presents many risks and challenges. Whether you or your company is being sued, avoiding liability requires a strategic defense. At Oberheiden P.C., our securities litigators have extensive experience and a proven record of success. This includes successfully resolving cases on behalf of clients in civil litigation as well as SEC and DOJ enforcement proceedings in federal courts. Several of the team are former high-ranking white-collar crime lawyers with the DOJ. Our securities litigators have hands-on experience investigating and prosecuting federal securities claims and fraud cases. This gives Oberheiden, P.C. the ability to offer valuable insight and strategic advice that few other law firms can match.
About Our Securities Litigation Law Firm
Our securities litigation defense attorneys are well-versed in handling all types of civil and governmental matters. We specialize in representing clients in cases involving the Securities Act, the Securities Exchange Act, the Sarbanes-Oxley Act, and more. We routinely provide legal counsel and representation to issuers, accounting firms, advisory firms, financial institutions, hedge funds, and individuals working for and on behalf of these entities. Our experienced securities litigation defense attorneys work closely with clients and their key stakeholders to identify the important facts and quickly develop effective strategies. We understand the significance of mitigating the costs of litigation, while always striving for the best possible outcome, like a dismissal or summary judgment.
Securities litigation often emerges in the midst of a broader corporate crisis. A company may find itself facing allegations from various private parties and government regulators. These allegations may sometimes serve as the tip of the iceberg, indicating a larger federal investigation. As a Private asset management firm, we possess the necessary resources to provide effective representation to corporate entities during times of crisis. Rest assured, we are ready to swiftly protect your company’s interests.
Matters We Handle
Within our securities litigation practice, we advise and represent clients facing all types of statutory, regulatory, and common-law violations. Our securities litigation team routinely handles the following cases, including dismissed statements:
Securities Class Action and Multi-District Litigation (MDL)
Securities class action litigation and multi-district litigation (MDL) present substantial challenges. Regardless of the nature of the allegations, securities class action cases are serious. At Oberheiden P.C., we aggressively defend clients in securities class actions and MDL in federal jurisdictions across the country. And, given our vast experience, we are one of the few firms our size with the capability to do so effectively.
Shareholder derivative actions present unique jurisdictional and logistical challenges for companies, officers, and directors. We provide nationwide defense for shareholder derivative lawsuits targeting the following:
- Breaches of fiduciary duty,
- Conflicts of interest,
- Allegations of self-dealing,
- Claims of negligence,
- And other allegations.
We also help corporate boards assess shareholder derivative claims. Our attorneys can help you determine the best course of action, given the circumstances.
Corporate Control Disputes
Internal efforts to obtain corporate control can lead to securities litigation involving a broad range of complex issues involving federal securities laws. Frequently, these disputes risk substantial harm to shareholders. We defend clients in corporate control disputes, diligently pursuing favorable results that protect our client’s interests and their bottom lines.
Takeover Attempts
Sometimes, a takeover attempt has been on the horizon for a while. Other times, it completely blindsides a management team. In either case, defending against the takeover attempt requires a prompt response. And that response must send a clear message. Our securities litigation attorneys represent organizations and individuals in takeover attempts by minority shareholders and outside investors. Due to our skills, experience, and resources, we can simultaneously pursue multiple strategies at once.
Insider Trading Allegations
Allegations of insider trading send shockwaves through publicly-traded companies. These claims also present extreme risks for officers, directors, and others accused of defrauding investors. At Oberheiden P.C., we defend corporate insiders against allegations of insider trading. We also represent corporations accused of allowing and facilitating illegal securities transactions.
Securities Fraud Allegations
Corporations, advisory firms, officers, directors, shareholders, advisors, and individuals will occasionally face securities fraud allegations. We defend entities and individuals facing all types of federal securities fraud allegations, including defending against claims of fraudulent actions. If you face allegations of misrepresenting or omitting information in a public filing, we can help. We also represent clients facing violations of the Securities and Exchange Commission Regulation Best Interest in court.
Accounting Fraud Allegations
Many securities litigation matters involve allegations of accounting fraud. The government can bring a case against corporate entities and outside accounting firms. These cases tend to involve complex issues involving many federal laws and regulations. Our securities litigation lawyers are keenly familiar with these issues. We help our clients navigate the legal challenges involved with shifting and assigning liability in cases involving multiple parties.
Merger and Acquisition (M&A) Litigation
Corporate merger and acquisition (M&A) transactions frequently lead to securities litigation. We represent parties on both sides of the transaction in litigation arising prior to and after closing. We also represent clients in shareholder litigation, shareholder derivative litigation, business judgment rule, corporate governance, and other matters arising out of M&A transactions.
Initial Public Offering (IPO) Litigation
Initial public offerings (IPOs) also present many litigation risks for companies, their boards, and their executives. When things do not go as planned, or when shareholders believe they were misled, the floodgates can open quickly. This can give rise to substantial liability. At Oberheiden P.C., our defense attorneys represent companies, boards, and executives nationwide in all types of IPO litigation.
Federal Securities Investigations
A significant portion of our securities litigation practice involves representing companies and individuals in federal securities investigations. We have extensive experience on both sides of SEC, DOJ, and FBI investigations. If the government is targeting your organization, our experienced defense counsel can mitigate the risk of civil or criminal liability.
How We Protect Companies, Firms, and Individuals in Securities Litigation Cases
Our securities fraud defense lawyers take a comprehensive and strategic approach. We tailor our representation to efficiently achieve a favorable result. To do so, we work around the clock to reduce our clients’ risks. To this end, our representation in federal securities litigation matters includes:
Internal Corporate Investigations – One of our first priorities is to conduct a confidential and privileged internal investigation. We do this to assess the validity of the government’s allegations. Of course, we are discrete and limit the investigation’s scope and the people involved. We then use the information to quickly develop a comprehensive strategy.
Independent Audits – If an independent audit is necessary, our legal team can oversee the audit. We will also advise you throughout the process. Once the audit is complete, we will discuss the findings with you and determine the best way to proceed.
Intervention in Federal Inquiries – If a federal agency is looking into you or your company, we can promptly intervene. Our initial priority is to gather the information you need to make 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 to position our clients’ securities litigation cases for success. Often, we obtain favorable results through out-of-court negotiations or through summary judgment or dismissal.
Trial Representation – When litigation is in your best interests, our lawyers call upon their extensive courtroom experience to aggressively advocate on your behalf. Our senior attorneys have extensive trial records and have a history of obtaining successful outcomes in high-stakes federal cases. Whether it’s district court, appellate court, or the supreme court, our lawyers are ready to advocate for you.
Do you need a lawyer for a federal securities litigation matter? If so, we encourage you to contact us so that our senior attorneys can get to work. For a free initial consultation, contact Oberheiden P.C. today.
Put our highly experienced team on your side
Speak directly with a Securities Litigation Lawyer at Oberheiden P.C. Today
To speak with one of our senior securities litigation attorneys about your company’s situation or the allegations against you, call us at 888-680-1745. You can also contact us online. Oberheiden, P.C. is headquartered in Dallas, Texas, and has local counsel in major cities across the country. We represent clients in securities litigation cases in most federal jurisdictions nationwide.
Additional Securities Litigation Resources
- AML Red Flags
- Securities Appeals
- Bank Lawyers
- Broker-Dealer Compliance
- Broker-Dealer Registration
- BSA Enforcement
- BSA Red Flags
- CFPB Audit Defense
- CFPB Compliance
- CFPB Investigation Defense Lawyer
- Customer Identification Program Requirements
- Consumer Financial Protection Bureau Defense
- Corporate Transparency Act
- FBAR Compliance
- FCPA Lawyer
- Federal Deposit Insurance Corporation
- FFIEC Compliance
- Financial Crimes Compliance
- Financial Fraud Lawyer
- Financial Institution Lawyers
- Hedge Fund Lawyer
- Investment Advisors Act Lawyer
- OCC Enforcement
- OFAC Attorney – Compliance & Defense Services
- Private Equity Lawyer
- SEC Compliance Attorney
- Securities Fraud – SEC Defense Lawyer
- The Nasdaq Defense Lawyer
- The Dow Jones Defense Lawyer
- Rule 8210 Requests
- FINRA Rule 2010
- FINRA Rule 2111
- FINRA Rule 2210
- FINRA Rule 2330
- FINRA Rule 3260
- FINRA Rule 11870
- RIA Arbitration
- RIA Compliance
- RIA Lawyer
- RIA Registration
- SEC Rule 10b-5
- SEC Rule 14b-1(c)
- SEC Rule 14n-1
- SEC Rule 15c2-11
- SEC Rule 15c3-3
- SEC Rule 144
- SEC Rule 144A
- SEC Rule 145
We serve clients across the country, including the District of New York. Our securities class team is ready to fight for you. If you face SEC enforcement action, please call us now.
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