Our Approach

The securities litigation defense lawyers at the national defense firm Oberheiden P.C. strive to legally represent individuals and firms that are facing allegations of securities fraud or misconduct. Unlike many other law firms, however, our approach is to take the interests of our clients seriously and to create defensive strategies that are tailored not only to the specific facts of your case, but also to your personal goals and concerns, as well. This helps us secure an outcome that is not just a good one, but the best one for your particular circumstances and needs.

We do this by listening to our clients until we are comfortable that we have a full understanding of their most pressing concerns and their long-term goals. Only after we reach this point will we begin to put together an effective and personalized defense strategy that minimizes your legal exposure and mitigates any damage that may have already been done.

Oberheiden P.C.’s Unique Approach to Securities Litigation

The securities litigation defense team that Oberheiden P.C. has on hand is diverse, experienced, and incredibly talented. Our staff is comprised of senior lawyers with decades of experience in securities cases, as well as a roster of extremely adept investigators, many of whom are retired law enforcement agents who have many years of service at the same federal agencies that pursue allegations of securities fraud and misconduct.

However, it is not just our qualifications that set Oberheiden P.C. apart from our competition when it comes to securities defense; we also bring a unique approach to defending these complicated and serious cases. This begins with a client-centric approach that puts your concerns at the forefront. We think that you should get legal advice and a defensive strategy that is tailored not just to your circumstances, but to your interests, as well.

To see this through, our approach involves eight different elements:

1. A complete understanding of your situation and your goals
2. An unmatched familiarity with the field of securities litigation
3. Experienced advice that is influenced, but not dictated, by prior securities litigation cases
4. Unfiltered communication with the senior lawyers on your case
5. Early intervention
6. Defense strategies that are active, effective, and appropriate for your case
7. A focus on de-escalating the litigation or charge
8. Foresight into any potential non-legal fallout from your case

With these steps outlining our approach to securities litigation defense, our clients have enjoyed stellar legal representation that produced outcomes that they actually wanted and that gave them the peace of mind that rarely comes with defending against serious allegations of securities violations.

1. We Want to Know Your Case and Your Interests

One of the most common criticisms of lawyers in general, and securities litigation attorneys in particular, is that they do not listen to their clients. Instead, they come into a case with preconceived notions of what is going on and a presumption of what their clients want to achieve.

At Oberheiden P.C., we take exception to his complaint and go to great lengths to prevent it from ever arising.

We understand that not everyone is the same, and that their primary concerns after being accused of securities misconduct or fraud may be different as well. For example, individual securities professionals, like brokers, who are in the very beginning of their careers are likely going to be far more concerned with the long-term effects of a violation on their career than someone on the eve of retirement.

We recognize this and aim to fully understand not just the circumstances surrounding your case, but also what you would consider to be a good outcome to achieve. We think that, without this basic connection between our clients and our firm, we cannot provide legal advice that has your best interests at heart.

2. We Bring Exceptional Legal Experience to Your Case

Once we know what your interests and goals are and have a solid grasp of the factual circumstances that surround the allegations you are facing, our deep and nuanced understanding of securities law and litigation come into play. Our lawyers all have decades of experience pursuing or defending against civil, criminal, and administrative cases involving securities misconduct. Just a few of the legal issues that we have handled in the past have included:

• Insider trading
• Securities fraud
• Breach of fiduciary duty
• FINRA defense
• Accounting fraud
• Mutual fund fraud
• Cryptocurrency fraud
• Multidistrict litigation (MDL)
• Misrepresentation or omission of material information
• Litigation related to mergers and acquisitions
• Falsifying financial statements
• Embezzlement
• Hostile takeovers
• Money laundering
• Initial public offerings
• Theft of consumer funds
• Ponzi Scheme allegations
• Class actions
• Manipulation of markets
• Stock fraud
• Broker-dealer fraud
• Sale of unregistered securities

Many of these have been filed as white collar criminal cases.

The breadth of our knowledge of securities litigation issues is only matched be the depth of our understanding. Our attorneys have decades of experience defending individual and corporate clients in securities cases. Many of our lawyers also have backgrounds as prosecutors and investigators at the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ), two of the leadings federal agencies that will be involved in prosecuting your case.

3. We Do Not Let Prior Cases Get in the Way of Your Own

A key concept behind our approach to legal representation is also a very simple and uncontroversial one: Your case is unique.

But we do not just say that. We act on it, as well. While many law firms use their prior casework as blueprints for success in future cases that they find to be similar, we prefer to use our prior cases as guidelines that may or may not influence our legal advice in your case, depending on what is appropriate for the situation.

We do this for several reasons.

First among them is the fact that, as we have already mentioned, each one of our clients is different. They may have different worries or concerns than any of our past clients have had. Even if everything else in your case is identical to one that we have handled before, it does not necessarily mean that the outcome that we achieved before is something that you can live with.

Second, we recognize the fact that no case is absolutely identical to any of those that have come before it. Minute details can make a big difference and can alter the best mode of defense.

For these and other reasons, we prefer to think of our prior cases and our long track record of success merely as lessons that we have learned and that we can use on your behalf, rather than as scripts for success or failure.

4. We Provide Direct Communication to Your Leading Lawyers

We realize that our approach to securities litigation relies extremely heavily on the lines of communication that exist between our clients and our firm. To facilitate and streamline this communication as much as possible, we made a strange decision for the legal field: We decided to only employ senior lawyers at Oberheiden P.C.

No junior associates.

No paralegals or even any legal secretaries.

When you call Oberheiden P.C., you talk directly with one of the senior attorneys on your securities litigation case. We have found that this is the best approach because it avoids miscommunications within our law firm – where you tell a legal secretary something important that gets lost when the secretary tells a paralegal, who then tells an associate, who then tells the senior lawyer in charge of your case. But providing a direct line of communication to the senior lawyers who are calling the shots in your case also provides a peace of mind to our clients that they desperately need during this troubling time. You are being accused of serious misconduct. The last thing that you need is to worry about whether your lawyers actually got your message or not.

5. We Try to Intervene as Quickly as Possible

A big part of our approach to securities litigation is to get involved in cases as soon as possible. Setting the groundwork for an effective legal defense often happens at the very beginning of a case. If law enforcement is involved, we can ensure that the investigation is kept within its legal scope and that your rights are vigorously invoked. This also ensures that your defensive strategy is implemented from day one.

6. We Adopt Appropriate Defensive Strategies for Your Needs

Given that every case is unique and that every client’s interests and goals are their own, it follows that the defense strategy that is appropriate for one person or entity is not always appropriate for the next. We take that to heart and strive to come up with multiple defensive options that can work for you.

In many cases, this involves taking an active stance against the allegations you are facing. In some cases, we find it not just appropriate but very effective to open a dialogue with the law enforcement agency conducting the investigation or the plaintiff levying the complaint. This gives us an opportunity to present exculpatory evidence that drastically undermines the strength of whatever incriminating evidence they think they have. Doing so can explain away the appearance of wrongdoing or show that you are not the party to blame.

Taking this active approach to your defense can end a case before it really begins, saving you the money it would take to raise a prolonged defense and the strain and hassle of making it.

7. We Aim to De-Escalate Your Case as Much as Possible

One of the most important goals of our approach is to keep your securities litigation scenario from escalating into something even more precarious. Countless times in the past, we have seen securities professionals or firms get accused of wrongdoing by a disgruntled customer, and then watch as the allegation gets picked up by law enforcement agencies and turn into criminal charges of securities fraud or other misconduct.

Preventing this type of escalation is a top priority for us at Oberheiden P.C.

8. We Look Ahead to Future Repercussions

Similarly, our securities litigation defense team knows and understands that the allegations of wrongdoing themselves are not confined to the courtroom or the justice system. There are serious consequences that securities professionals and firms face, even if the allegations turn out to be false or baseless. Many firms lose business from the reputational hit that they take from the accusation. Proving that the allegation was groundless takes time, and by then people will have forgotten and moved on.

At Oberheiden P.C., we understand that the legal side of the securities litigation is not the only story. There are also business issues that you will face because of the legal threat. We aim to mitigate those future repercussions, as well.

Call the Securities Litigation Lawyers at Oberheiden P.C.

If you or your securities firm is facing litigation, or the mere threat of litigation, you need effective and experienced legal representation. The securities litigation defense team at Oberheiden P.C. can handle your case. Contact us online or call us at (888) 680-1745.