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Securities and Shareholder Litigation
Holland & Hart represents clients in virtually all aspects of securities litigation including individual suits and class actions under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company and Investment Advisors Acts of 1940, and state law. We also represent clients in lawsuits involving securities-related issues arising under ERISA, RICO and the Bankruptcy Code. Our lawyers are experienced in handling internal corporate and audit committee investigations; SEC enforcement proceedings; government investigations; merger, acquisition, and proxy contest actions; PCAOB matters; and FINRA arbitrations and investigations.
Shareholder Class Actions
Holland & Hart has substantial experience in defending shareholder class action litigation. Our clients include not only corporations in our home states, but Fortune 500 companies and their officers and directors. Although Holland & Hart is generally lead counsel on such matters, we have established a substantial reputation as Mountain West co-counsel as a result of affiliations with other securities litigation firms throughout the United States.
We have played a role in the majority of securities class actions brought in Colorado in the past 20 years. Our client roster has included the following companies:
- Ciber, Inc.
- Zynex Inc.
- FirstWorld Communications, Inc.
- Level 3 Communications
- Einstein/Noah Bagel Inc.
- The North Face
- Cray Computer
- Pace Membership Warehouse, Inc.
Shareholder Derivative Claims
Our attorneys often represent directors and officers of public companies in defeating shareholder derivative suits brought by existing shareholders on behalf of the company against its officers and directors for breach of fiduciary duty, corporate control disputes, LLC disputes, and corporate "divorce." Our lawyers also act as special counsel to special litigation committees and panels.
SEC Enforcement
Holland & Hart represents individuals and corporations in connection with government investigations, including Securities and Exchange Commission inquiries and enforcement proceedings, State Attorneys General actions, PCAOB matters, and FINRA arbitrations and investigations. We defend companies, their officers, investment advisors and accountants in various formal and informal investigations and administrative proceedings involving allegations of insider trading, accounting fraud, market manipulation, and misrepresentation or omissions. Several of our lawyers have served as court-appointed receivers and special counsels in SEC enforcement actions.
Internal Investigations
Holland & Hart assists special litigation committees and audit committees in investigating allegations of wrongdoing, including account fraud, stock fraud, money laundering, foreign corrupt practices, and insider trading. We also develop compliance programs for our clients relating to insider trading, whistleblower protections and litigation avoidance to help them stay out of trouble. Our White Collar Practice Group handles federal and state criminal proceedings, including grand jury proceedings and congressional investigations.
Broker/Dealer Arbitration and Litigation
Holland & Hart has extensive experience in broker/dealer and customer/broker securities arbitrations and lawsuits involving fraud, unauthorized trading, suitability, churning, trading away, defamation and employment claims. In fact, one of our partners is a former Director of Arbitration and Disciplinary Hearings of the American Stock Exchange.
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In re Pace Membership Warehouse Sec. Litig. (D. Colo.): Defense of the company and its officers and inside directors in this federal and state securities fraud litigation.
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In re The North Face Sec. Litig. (State court.): Defended The North Face Inc. in securities class actions.
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In re FirstWorld Communications Sec. Litig. (D. Colo.): Defended FirstWorld (Verado) and its officers and directors in securities class actions.
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In re Einstein/Noah Bagel Corp. Sec. Lit. (D. Colo.): Defended issuer and its officers and directors in consolidated securities class action.
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In re First Data Corp. Shareholder Litigation (Colo. State Court): Represented First Data Corp. and its directors and officers in private equity litigation.
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Maierhofer, et al. v. Meredith Corporation, et al. (State court): Defended The Meredith Corporation and Meredith Real Estate Corporation in Section 10(b) and Section 12(2) class action litigation. Defeated class certification. Summary judgment granted for defense.
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Stichting Pensioenfonds ABP v. Qwest Communications International, Inc., et al. (D. Colo.): Defense of Citigroup Capital Holdings f/k/a/ Salomon Smith Barney Holdings and Jack Grubman in opt-out case involving analyst coverage of Qwest securities.
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Tuchman v. Pell Rudman, et al. (D. Colo.): Defended Pell Rudman and parent AMVESCAP PLC in securities action filed by private wealth management client.
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Sterling, et al. v. Cray Computer Corporation, et al. (D. Colo.): Defense of issuer and the two individual defendants named in Section 10(b) class action litigation. Also represented the company and its individual officers in a related SEC investigation. The SEC brought no action and the matter was closed.
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Represented entities, officers, and directors in non-public SEC investigations involving Ponzi schemes, the sale of annuities, insider trading, supervision, fraud, and market timing in mutual funds.
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Represented major national brokerage firms throughout the Mountain West in connection with customer and broker arbitrations and matters before state regulators and FINRA.
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Hooking Family Trust LLC, et al., v. Mathew Frary, Fla. Cir. Ct. (2010). Represented majority shareholders of an internet LLC claiming waste, fraud, and breach of fiduciary duty.
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Burke v. HEALTHSOUTH, et al. (D. Colo.): Defense of HEALTHSOUTH Corporation in opt-out action alleging federal and state securities law claims.
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Cannon v. Citigroup Global Markets Inc., et al. (D. Colo.): Defended Lehman Brothers in securities class action.
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Amy J. Straily v. UBS Financial Services, Inc., 07-cv-00884-REB-KMT (D. Colo. Mar. 24, 2009). Defeated breach of fiduciary duty claims on summary judgment brought by purported nationwide class action of customers of major national brokerage firm relating to its bank sweep program.
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Abram and Eaton Vance High Yield Municipal Bond Fund v. Southeastern Municipal Bonds, Inc., et al. (D. Colo.): Represented Eaton Vance as an individual plaintiff and subsequently as the largest class member in this action brought under Section 10(b) and Section 12(2).
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All Copy v. Citicorp Vendor Finance (Colo. State Court): Defeated class certification in CCPA litigation.
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Chess v. Goldstein et al. (State court): Defended officers and directors of Scotts’ Liquid Gold-Inc. in a shareholder derivative action.
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Haegle v. Scott, et al. (State court): Defense of shareholder derivative litigation on behalf of the Level 3 board of directors.
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Hilgen v. Woodbury Financial Services, Inc. (State court): Defeated claims for CCPA violations in action relating to variable annuities.
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Defended purported securities class actions brought against Ciber, Inc.; Zynex Inc.; First World Communications Inc.; Level 3; The North Face; Einstein/Noah Bagel, Inc.; Pace Membership Warehouse, Inc.; Scott’s Liquid Gold, Inc.; and The Cray Corporation.
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CONVERDYN, Plaintiff, v. James Neal BLUE, Heathgate Resources PTY Ltd, General Atomic Technologies Corporation, and Nuclear Fuels Corporation, Defendants. (D. Colo.) Defended uranium producer in $60 million RICO and breach of contract claim brought by large corporate purchaser of uranium.
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Defeated shareholder suits in Delaware and California seeking preliminary injunctions to block client's takeover of Nevada corporation.
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Holland & Hart News Update
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TICTalk, newsletter of OMNI Real Estate Services, an affiliate of OMNI Brokerage, Inc.
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Past Speaking Engagements and Events
April 13, 2012
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44th Annual Rocky Mountain Securities Conference Denver, CO | April 2010
| theRacetotheBottom.org CLE Seminar
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January 30, 2009
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November 5, 2008
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October 8, 2008
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