Brian Hoffman

Client Results

• Defend large accounting firm in multiple different SEC and DOJ investigations involving various financial reporting, auditing, and disclosure matters, as well as provide counsel in 10A situations.

• Represent Audit Committee of a public company to conduct internal investigation of certain accounting and disclosure issues.

• Defend executive of multi-national public company in DOJ and SEC investigation of disclosures concerning product sales.

• Defend executive of public company in SEC investigation of disclosures concerning expected sales and business operations.

• Defend China-based executive of public company in resolving SEC investigation of FCPA issues without action against the individual.

• Defend local accounting firm and individual auditors in SEC and PCAOB investigations involving financial reporting, auditing, and disclosure matters.

• Defend both entities and individuals in multiple different SEC and DOJ investigations of insider trading.

• Defend investment advisor and private fund complex in SEC and state investigations.

• Defend investment advisor in SEC examination and investigation involving 12b-1 fees.  

• Defend executive of adviser to mutual fund complex in SEC investigation of disclosure and other concerns.

• Defend public company against SOX whistleblower retaliation claims asserted by former employee in OSHA investigation and subsequent ALJ proceeding.

• Conduct internal investigation for public company in connection with internal report and defend public company against SOX whistleblower retaliation claims asserted by former employee in OSHA investigation.

• Defend various individuals and entities in multiple different state securities investigations.  

• Represented international high-tech equipment manufacturer in its internal investigation concerning potential FCPA issues in Korea, China, and other countries, as well as other potential financial reporting, accounting, and disclosure issues.

• Represented large retailer in SEC investigation concerning public cybersecurity disclosures.*

• Represented mortgage origination and securitization company in SEC and DOJ investigations involving residential mortgage-backed securities.*

• Defended registered investment advisor, affiliated hedge funds, and registered broker-dealer in SEC investigation of suitability and other issues.*

• Represented former outside directors of large public company in SEC investigation of related party transactions and perquisite issues.*

• Represented accounting firm in PCAOB inquiry concerning financial reporting and disclosure matters.*

• Defended broker in FINRA and SEC inquiries concerning short sales of securities.*

• Defended both entities and individuals in multiple different SEC and FINRA investigations of insider trading.*

• Conducted numerous investigations and litigations (both in federal court and administrative proceedings) against multiple different entities and individuals for potential violations of the federal securities law as a Senior Counsel in the Division of the Enforcement of the U.S. Securities and Exchange Commission.*

• Defended alleged investment entity in investigation by Idaho Department of Finance.

• Defended newsletter publisher in investigation by the South Dakota Division of Securities.

• Represented international high-tech equipment manufacturer in its internal investigation concerning potential FCPA issues in Korea, China, and other countries, as well as other potential financial reporting, accounting, and disclosure issues.*

• Defended company specializing in quality control products and services from claims filed by seller in asset sale relating to payment under earn-out agreement and related issues, filed in Colorado federal court.

• Defend coffee company, and its officers and directors, in appraisal litigation filed in Colorado state court after a dispute over the fair value of consideration paid to a shareholder who dissented to an asset sale.

• Defend large national food company in action challenging the acquisition, and related disclosures, of a Colorado-based food company.

• Defended a large telecommunications company and certain of its officers and directors, in shareholder class action, derivative, and ERISA litigation in Colorado federal and state courts.*

• Defended an apparel company and certain of its officers and directors, in shareholder class action and derivative litigation in Colorado federal and state courts.*

• Defended a healthcare company and certain of its officers and directors, in securities fraud and negligent misrepresentation litigation in Colorado federal and state courts.*

• Represented government contractor in lawsuit alleging breach of contract and equitable claims.*

• Defended Indian telecommunications company against contract and equitable claims in trial in Colorado state court.*

• Prosecuted nineteen cases, including eight jury trials, as part of Municipal Code Trial Advocacy Program with Denver City Attorney’s office.*

• *Indicates a matter Brian worked on before joining Holland & Hart