Our attorneys include former federal and state prosecutors, a former American Stock Exchange regulator, and a former Securities and Exchange Commission (SEC) enforcement lawyer. They are relentless advocates experienced in securities litigation, government investigations, and white collar criminal matters. Holland & Hart offers corporations, officers, directors, and other individuals access to a sophisticated legal team at a cost-effective fee structure.

Securities Litigation

We have experience in every aspect of securities litigation, from pre-complaint matters such as Wells notices through trial. Our experience extends from the administrative level, to federal and state courts and before arbitration panels throughout the nation. Our areas of specialization include:

Shareholder Class Actions. We have developed substantial experience in defending corporations, including Fortune 500 companies and their officers and directors, against shareholder and class action litigation, in federal and state courts.

Customer Disputes. Our lawyers represent broker-dealers and other market professionals in court, in securities arbitrations, and in regulatory proceedings.

Corporate Governance. We represent corporations and boards of directors in defending shareholder derivative litigation, handling special litigation committee matters, and counseling clients on corporate governance.

SEC Investigations. We have defended public and private companies, broker-dealers, and their officers, directors, and employees, as well as CPA's and other licensed professionals, in SEC investigations covering a wide range of matters, including alleged misrepresentations in public filings, failure to supervise, insider trading, accounting irregularities, and securities registration violations. Our attorneys are experienced at handling every phase of these delicate matters, including document production, sworn testimony, and responding to "Wells" notices. Although we are prepared to aggressively defend our clients at trial, our goal is to avoid any enforcement action or achieve settlement on terms favorable to the client.

NASD and SEC Examinations. Unannounced examinations by securities regulators can interrupt the business of broker-dealers and lead to subsequent enforcement proceedings. Responding effectively to notices of deficiency requires a combination of diplomacy, appropriate remedial measures, and strong client advocacy. We help broker-dealers and other regulated entities resolve matters of concern and work to avoid enforcement referrals.

SEC Receiverships. U.S. District Courts have appointed our lawyers as receivers of entities that the SEC determined were engaged in violative conduct. Our attorneys marshaled assets, oversaw company operations and litigated on behalf of the receivership estates for the benefit of investors.

Trial Practice. When the battle comes, Holland & Hart brings decades of experience to the courtroom. We frequently try our cases to juries. Indeed, our approach to discovery is to assume that each case will go to trial. Our depositions and written discovery concentrate on the elements of the relevant claims and defenses, and the credibility of key witnesses, thereby enhancing the likelihood of a successful outcome.

Governmental/Regulatory Investigations

Prediction, Persuasion, and Prevention. Investigations by governmental and regulatory authorities have increasingly targeted corporations, their officers and directors, broker-dealers and other individuals. These inquiries pose the threat of indictment, civil litigation, disciplinary actions, and other adverse proceedings. To minimize business disruption and bad publicity, and to maximize the prospects of "cooperation credit," our white collar attorneys provide sophisticated counsel to corporations and corporate representatives. We strive to resolve these investigations quickly and favorably, prior to adverse action by the government. We approach these representations with discretion, to avoid damaging reputations, as well as potential harm from parallel proceedings. Our familiarity with regulatory processes enables us to develop effective, tailored strategies towards privilege waiver and other sensitive issues.

SEC Investigations. We have defended public and private companies, their employees, officers and directors, and broker-dealers in SEC investigations covering a wide range of matters, including misrepresentations in public filings, failure to supervise, insider trading, accounting irregularities, and securities registration violations. Our attorneys are skilled at handling every phase of these delicate matters, including document production, sworn testimony, and responding to "Wells" notices. Although we can - and do - aggressively defend our clients at trial, our goal is to avoid enforcement action entirely or achieve settlement on terms favorable to the client.

NASD and SEC Examinations. Unannounced examinations by securities regulators can interrupt the business of broker-dealers and lead to subsequent enforcement proceedings. Responding effectively to notices of deficiency requires a combination of diplomacy, appropriate remedial measures, and strong client advocacy. We help broker-dealers and other regulated entities resolve matters of concern, and work to avoid enforcement referrals.

White Collar Criminal Defense & Internal Investigations

Internal investigations, properly conducted, are an important, effective way to ascertain risk in civil litigation matters and criminal and regulatory investigations. Acting as special counsel for public and private companies, including non-profit organizations, we use the appropriate protocol to investigate and assess allegations of wrongdoing, fraud, or mistake in the corporate context. Based upon our investigative analysis, we make thoughtful, effective recommendations to management and the boards of directors to minimize the corporation's civil and/or criminal exposure. We also counsel companies with regard to creating or enhancing their compliance programs.

We represent counsel witnesses appearing before federal and state grand juries, as well as individuals accused of committed various non-violent crimes. We help clients respond to subpoenas, search warrants, and informal requests for information, ensuring that our clients' rights are protected.  While understanding the need for sensitivity, our experienced former prosecutors know how to vigorously defend clients at indictment, during plea negotiations, and if necessary, at trial.

Environmental Crimes. Our 30 years of experience in environmental law, combined with our litigation expertise and technological capabilities makes Holland & Hart one of the leading law firms in the country defending investigations of potential criminal violations of the Clean Air Act, the Clean Water Act, the Resource Conservation and Recovery Act (RCRA), the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), the Toxic Substances Control Act (TSCA), the Endangered Species Act, and other environmental statutes.

Health Care Fraud and Abuse. Government health care fraud investigations can lead to federal and state criminal prosecutions, civil false claim actions, government program exclusions and other devastating consequences. We represent health care organizations in a variety of criminal, civil and administrative fraud and abuse matters involving new antifraud provisions adopted in the Health Insurance Portability and Accountability Act of 1986 (HIPAA), the Ethics in Patient Referrals Act (Stark Law), the Federal Anti-Kickback Statute, and in the development of recommended compliance programs to conform to CMS and federal sentencing guidelines criteria.

Trial Practice. Our experienced trial lawyers give use important leverage not only at trial, but during pretrial settlement negotiations as well. Saying we are willing to go to trial is not just an empty threat. Our reputation as effective courtroom advocates often persuades the government to reconsider its demands before trial, paving the way to advantageous settlement. Holland & Hart has remained committed to litigation and trial technology. Our full-service mock trial room features all available courtroom technology, a jury box, and a judge's bench. Our in-house trial consulting firm, Persuasion Strategies, offers services such as mock trials, judicial research, jury selection analysis, witness preparation, and case strategy consultation. Holland & Hart also features its own in-house graphics department and multi-media center, and remain at the cutting edge in creating animations and virtual reality exhibits for the courtroom.

Export and Import Controls

Following September 11th, enforcement of U.S. export and import control laws has become a renewed priority. These laws are the keystone controls designed to prevent terrorists and similar groups from gaining access to U.S.-origin technologies and funds, and to enhance homeland security. Violations of these laws can carry significant civil and criminal penalties. U.S. companies accordingly have come to realize the value of compliance.

Holland & Hart has responded to this demand by assembling a group of lawyers who specialize in export and import control compliance, defense and counseling regarding statutes including the Arms Export Control, Export Administration Regulations, Foreign Corrupt Practices Act and U.S. Customs regulations. Our attorneys have been at the forefront of several seminal export control enforcement actions. In addition, the firm assists multiple large multi-national corporations in their management of this important area of compliance.

Through HHCMS, our proprietary internet-based compliance management system, we help companies minimize risk by increasing employees' understanding of relevant policies and regulations.

Trial Practice. Holland & Hart export and import control lawyers have served as expert witnesses and are asked to consult with clients and other counsel on a wide-range of enforcement actions and proceedings. Working with both regulatory agencies and clients, our experienced trial team strives to negotiate creative settlements and mitigate penalties without court action.