Nationwide Securities Litigation Defense
We represent brokerage firms, broker-dealers, companies, executives, and other clients in all types of securities litigation. With a nationwide network of senior-level securities litigators, we provide representation for administrative, civil, and criminal matters throughout the United States. Led by firm founder Nick Oberheiden, PhD, our securities litigation team includes former U.S. Department of Justice (DOJ) attorneys who prosecuted large-scale securities fraud cases before entering private practice.
With a team composed entirely of senior-level lawyers and expert consultants, we take a straightforward and results-oriented approach to securities litigation defense. In all matters—from civil investment fraud litigation to U.S. Securities and Exchange Commission (SEC) investigations and criminal securities fraud prosecutions—we focus on protecting our clients’ interests as cost-effectively as possible. Our senior lawyers and consultants work with our clients’ key stakeholders directly, and we help our clients’ key stakeholders make timely and strategic decisions throughout the litigation process.
In federal enforcement matters, we focus on resolving our clients’ matters without formal charges. In many cases, this means resolving our clients’ matters without any further consequences. When it is not possible to avoid further consequences entirely, we negotiate resolutions with the SEC and DOJ that protect our clients to the greatest extent possible. We take a similar approach to private civil litigation—working proactively to achieve favorable results for our clients prior to trial.
Matters We Handle
We handle all types of administrative, civil, and criminal securities litigation matters arising under federal law. We also handle investigations and enforcement matters involving the Financial Industry Regulatory Authority (FINRA) and other self-regulatory organizations (SROs). Representative examples of the types of matters we handle include those involving allegations of:
- Accounting fraud
- Broker-dealer fraud
- Cryptocurrency fraud
- Financial fraud
- Insider trading
- Market manipulation
- Misrepresentations and omissions
- Money laundering
- Mutual fund fraud
- Ponzi Schemes
- Securities fraud
- Stock fraud
- Theft of consumer funds
From informal demands to SEC investigations, and from civil lawsuits to criminal prosecutions, we handle all types of securities matters at all stages of the litigation process. Our experience includes successfully representing clients in:
- Administrative enforcement actions
- Audits and investigations
- Civil lawsuits
- Class action litigation
- Criminal prosecutions
- Multidistrict litigation (MDL)
- Whistleblower lawsuits
When facing any type of securities litigation or enforcement action, a prompt response is critical. At Oberheiden P.C., we are able to get to work on both new and existing clients’ matters immediately. This is one area (among many) where our lawyers’ and consultants’ senior-level experience comes into play. As a result of our extensive experience, we are able to hit the ground running—immediately advising our clients, intervening in governmental investigations and responding to complaints, and taking the necessary steps to preserve all options for securing a favorable result.
Contact the Securities Litigation Team at Oberheiden P.C.
If you would like to know more about our securities litigation practice, we invite you to get in touch. To speak with a senior member of our securities litigation team in confidence, please call 88-680-1745 or request a complimentary consultation online today.