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 mistakes in the corporate context. Based upon our investigative analysis, we make thoughtful, effective recommendations to management and the boards of directors to minimize a corporation's civil and/or criminal exposure. We also counsel companies with regard to creating or enhancing their compliance programs.
We represent witnesses appearing before federal and state grand juries, as well as individuals accused of committing 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 know-how 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 our clients 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. Persuasion Strategies also features its own in-house graphics department and multi-media center, and as a result Holland & Hart remains on the cutting edge in creating animations and virtual reality exhibits for the courtroom.
Export and Import Controls
Following September 11, 2001, 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 Act, Export Administration Regulations, the 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 online 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.
Securities Counsel and 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 CPAs 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 have extensive experience trying 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.